Compliance Regulatory and Exam Management Senior Analyst

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Published
August 4, 2019
Location
Tampa, FL
Job Type

Description

Description

About Citi:

Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.

Citi’s Mission and Value Propositionexplains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients’ and the public’s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.

Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.

Key Responsibilities

Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)’s Exam Management and Regulatory Liaison Office responsible for the promotion, support, monitoring and reporting on Citi’s interactions with its regulators, including queries arising in the normal course of business outside of specific examinations, and managing supervisory examinations, globally.

Key Activities Include

  • Working with senior staff in establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework.
  • Participating in the coordination and execution of regulatory exams; including franchise relevant regulatory reviews and other supervisory activity impacting Citi businesses and control functions.
  • Liaising with the supervisory agency teams, including responding to ad hoc requests / inquiries and hosting meetings with senior managers held in connection with ongoing supervision efforts.
  • Partnering with regional Exam Management and Regulatory Liaison Offices, local advisory Compliance teams, Business, Risk, Legal, Operations, and Technology to identify, gather and produce responsive documents and information.
  • Identifying and escalating issues raised in the course of regulatory exams and supervisory activity.
  • Promoting awareness of trends identified during exam management activity and drive common messaging across our organization and geographies.
  • Participating in UAT testing and working groups on behalf of the Exam Management and Regulatory Liaison Offices to enhance the firm’s current regulatory tracking processes, standards and systems.
  • Preparing internal reporting and ensure tracking of exams (and associated requests) on a timely basis.
  • Developing, enhancing, and promoting the use of globally consistent communication tools/templates/presentations
  • Additional duties as assigned.

Qualifications

  • 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
  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • Excellent written and verbal communication skills
  • Must be a self-starter, flexible, innovative and adaptive
  • Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Knowledge in area of focus 

Preferred

  • Advanced degree (e.g. JD, MBA) a plus

Company Description

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