Compliance Testing Officer - Vice President

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessment 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:

• Participating in the planning, executing, and reporting of compliance testing reviews and regulatory issue validation covering middle and back office Operations activities within the Global Markets business, in accordance with the Compliance Independent Assessment (CIA) Plan.
• Act as review lead, coordinating the testing resources and helping to manage testing projects in conjunction with review Director.
• Analyzing and documenting report findings, and negotiating 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 the CIA function and with other stakeholders including Business process owners and Internal Audit function.
• Identifying industry best practices and sharing insight with the CIA teams on a regular basis.
• 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.

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 risk and control matrices, process and control design assessments, substantive and control operating effectiveness testing.
• 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
• 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
• Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Ability to both work collaboratively and independently; ability to navigate a complex organization
• 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

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