Compliance Testing Officer

hace 2 semanas

Bogota, Colombia Citi A tiempo completo

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Global Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent testing activities (testing and on-going monitoring) to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.

Key Activities include:

- Leads a small team of Compliance professionals in review planning, executing, and reporting of Compliance Independent Assessment (CIA) reviews for a component of a product lines, functions, or legal entities globally. These include analyzing and documenting review findings, and discussions with corresponding control/process owners.
- Develops and enhance Monitoring routines or Monitoring Targeted Assessments according to the Compliance Testing Methodologies and Standards
- Performs CAPs and issue validation and the maintenance of records in iCAPs.
- Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
- Assists in the gathering and preparation of regulatory examination deliverables as requested by examiners.
- Builds relationships within CIA function and with other stakeholders including Business process owners, Product Compliance and Internal Audit function.
- Identifying industry best practices and share insight with the CIA teams.
- Informing CIA management of significant compliance matters that require their attention or action.
- Identifying compliance training resources and tools available centrally to support country/business compliance programs training and research needs and helps train new joiners and CIA analysts.
- Additional duties as assigned.

**Qualifications**:

- 6-10 years of experience
- Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
- Knowledge and extensive experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities
- Strong interpersonal skills for building strong relationships with stakeholders and engaging teams at all levels of the organization
- Effectiveness in working within a large scale and complex matrix organization is essential
- Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views
- Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
- Product knowledge of Trust business and Retail Investments.
- Knowledge of Compliance laws, rules, regulations, risks and typologies including but not limited to SEC Regulation Best Interest and 12 CFR 9 Fiduciary Activities of National Banks
- Must be a self-starter, flexible, innovative and adaptive
- Advanced analytical skills
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Demonstrated knowledge in area of focus
- Advance level for English language speaking and written

**Education**:

- Bachelor's/University degree, Master's degree preferred
- Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus; Advanced degree a plus
- **Job Family Group**:
Compliance and Control
- **Job Family**:
Testing
- **Time Type**:
Full time
- Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

View the "**EEO is the Law**" poster. View the **EEO is the Law Supplement**.

View the **EEO Policy Statement**.

View the **Pay Transparency Posting

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