Discover your dream Career
For Recruiters

Compliance Testing Officer (Vice President) at Citi

Citi London, United Kingdom
Posted 13 days ago Hybrid Job Permanent Competitive
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s 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 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:
  • Developing, implementing, and executing compliance testing and reporting programs within an assigned region in accordance with the Compliance Independent Testing Plan.
  • Participating in the planning, executing, and reporting of compliance testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with Compliance Independent Assessment (CIA) Plan.
  • Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
  • Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
  • Developing effective relationships within CIA function and with other stakeholders including Business process owners and Internal Audit function.
  • 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.
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
Qualifications:
  • 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
  • Understanding of rules, laws, and regulations, specific regulatory requirements, financial services and the following asset classes: commodities and currencies
  • 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
  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
Education:
  • 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.

Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi .

View the " EEO is the Law " poster. View the EEO is the Law Supplement .
View the EEO Policy Statement .
View the Pay Transparency Posting
Job ID  24758649
More Jobs From Citi
Citi
Compliance Testing Senior Analyst (Assistant Vice President) at Citi
Citi
London, United Kingdom
13 days ago Full time Competitive
Citi
Rates Product Compliance Officer - Vice President at Citi
Citi
London, United Kingdom
14 hours ago Full time Competitive
Citi
Compliance Product Officer - Commodities/Futures (Vice President) at Citi
Citi
London, United Kingdom
13 days ago Full time Competitive
Citi
Senior Quant Risk Enterprise Stress Testing - SVP at Citi
Citi
London, United Kingdom
19 days ago Full time Competitive
Citi
Business Risk Officer - Data Business Analyst, VP at Citi
Citi
London, United Kingdom
8 days ago Full time Competitive
Citi
Credit Portfolio Officer - Vice President at Citi
Citi
London, United Kingdom
1 month ago Full time Competitive
Citi
Compliance Testing Officer - VP Wealth
Citi
Singapore
25 days ago Full time Competitive
Citi
VP, Compliance Testing Officer, Markets
Citi
Hong Kong
28 days ago Full time Competitive
Citi
VP, Compliance Testing Officer, Markets
Citi
Hong Kong
1 month ago Full time Competitive
Citi
VP, Compliance Testing Officer
Citi
Hong Kong
2 months ago Full time Competitive

Boost your career

Find thousands of job opportunities by signing up to eFinancialCareers today.
Recommended Jobs
Eximius Finance
Compliance Testing Officer - VP
Eximius Finance
London, United Kingdom
Compliance Officer
Beta Capital Management (UK) Limited
London, United Kingdom
Jupiter Asset Management Ltd
Senior Compliance Officer (12 month FTC)
Jupiter Asset Management Ltd
London, United Kingdom