Compliance Assurance Officer - Branch Examinations Tampa, Florida, United States 09/16/2019 hos Citi

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Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Assurance team responsible for assessing compliance risks and controls implemented by the first and second line of defense, and performing Independent Inspection of Citi investment related branches in line with FINRA related Supervisory requirements and other related key risks.Examinations to assess the operating 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 examinations in accordance with the Branch Examinations Regulatory Required Plan.
  • Participating in the planning, executing, and reporting of Branch Examinations, and issue validation activities for a branch and legal entity in accordance with CA – Branch Examinations Plan.
  • Analysing and documenting report findings, and reviewing the finding with business Management and corresponding control/process owners.
  • Assisting with development of the Branch Examinations testing program
  • Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
  • Developing effective relationships within Branch Examinations and with other stakeholders including business management, Compliance and Legal functions.
  • Identifying industry best practices and share insight with the Branch Examinations team on a regular basis.
  • Informing Branch Examinations 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.
  • Additional duties as assigned.

Knowledge and skills

(general and technical)
  • Experience in planning, executing, and reporting of investments related branch examinations
  • Knowledge and extensive experience with examination principles including exam planning, execution, understanding of risks and controls, processes, operating effectiveness.
  • Understanding of rules, laws, and regulations, and specific regulatory requirements
  • 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
  • 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
  • Advanced analytical skills
  • Ability to both work independently and collaborate with team members
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Demonstrated knowledge in area of focus

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

  • ------------------------------------------------ Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US
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