Compliance Senior Officer Volcker Swap Dealer Counterparty Trading Risk SVP
CitigroupJersey City, NJ, USjob_description.job_card.30_days_ago
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job_description.job_card.job_descriptionEnsuring the timely delivery of high quality, value-added testing reports for a portfolio of business activities, which meet the requirements of the Boards of Citigroup and Citibank, their affiliates, and of Citi's respective regulators, globally. Analyzing 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 partners and stakeholders including Product Compliance, Business process owners, Risk management and Internal Audit function. Identifying industry best practices and share insight with the CIA teams on a regular basis. Informing CIA management of significant compliance matters that require their attention or action. Additional duties as assigned. 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. 14+ years of relevant experience Expertise of compliance laws, rules, regulations, risks and typologies Extensive experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities for Volcker program, Swap Dealer program and Counterparty Trading and Risk business. Knowledge and extensive regulatory compliance and / or 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 Demonstrated career progression within highly respected diversified institutions with complex and diverse products and customers Understanding of rules, laws, and regulations, and specific regulatory requirements impacting financial services and [insert product, function, legal entity or regional nature of role as required] Strong interpersonal skills for building strong relationships with stakeholders and engaging teams 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 Willingness to travel Must be a self-starter, flexible, innovative and adaptive Highly motivated, strong attention to detail, team oriented, organized Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level Experience in managing regulatory exams and relationships with examiners, auditors, etc. Awareness of regulatory requirements including local and US laws, international and industry standards Advanced knowledge in area of focus Bachelor's degree, Master's degree preferred Bachelor's degree; experience in compliance, legal, audit 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
Compliance Senior Officer Volcker Swap Dealer Counterparty Trading Risk SVP
Serves as a senior 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 assessments of Citi's compliance risks; performing independent testing activities (testing and monitoring) within the global Volcker Swap Dealer Counterparty Trading & Risk CIA program 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.
In this role, you're expected to :
- Developing, implementing, and executing compliance testing, continuous testing, and reporting programs in accordance with the Compliance Independent Assessment (CIA) Plan.
- Leading the planning, executing, and reporting of compliance testing reviews and issue validation activities for the Volcker Swap Dealer Counterparty Trading & Risk CIA program in accordance with CIA Plan.
Serving as a lead reviewer for complex reviews, analyzing report findings, and communicating findings to corresponding control / process owners for the Volcker Swap Dealer Counterparty Trading & Risk.
As a successful candidate, you'd ideally have the following skills and exposure :
Education :
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