Compliance Assurance Officer- Testing Compliance Assurance Officer- Testing …

in Warsaw, Mazowieckie, Poland
Permanent, Full time
Be the first to apply
in Warsaw, Mazowieckie, Poland
Permanent, Full time
Be the first to apply
Compliance Assurance Officer- Testing
  • Primary Location: Poland,Mazowieckie,Warsaw
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: Yes, 25 % of the Time
  • Job ID: 19021778


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 defence. Also responsible for performing risk assessments of Citi's compliance risks; performing independent assurance 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:
  • Developing, implementing, and executing compliance testing, monitoring and reporting programs in accordance with the ICRM Compliance Assurance (CA) Plan.
  • Leading and participating in the planning, executing and reporting of risk based compliance assurance reviews, monitoring activities and compliance and regulatory issue validations in accordance with CA Plan and Methodology.
  • Analysing and documenting report findings and having preliminary discussions with corresponding control/process owners.
  • Assisting with development and update of Compliance Assurance Risk Assessments, and the development and enhancement of the Compliance Assurance Methodologies.
  • Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
  • Developing effective relationships within CA function and with other stakeholders including business process owners and Internal Audit function.
  • Identifying industry best practices and share insight with the CA teams on a regular basis.
  • Informing CA management of significant compliance matters that require their attention or action.
  • Monitoring the risk environment and assesses the emerging risks through the Business Monitoring process


Qualifications, Knowledge and Skills: 
  • Bachelor's degree;
  • CPA or ACCA equivalent is highly desirable;
  • A minimum of 7 years' experience in compliance, audit or other control-related functions in international banks, financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof;
  • 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 the risks and controls in trading businesses, such as FX, Equities, Rates, Credit, Commodities and Prime;
  • Understanding of rules, laws, and regulations, and specific regulatory requirements related to the trading businesses;
  • Excellent project management and organizational skills and capability to handle multiple projects at one time;
  • Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions;
  • Effective negotiation skills, a proactive and "no surprises" approach in communicating issues, and strength in sustaining independent views;
  • Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization;
  • Ability to both work independently and collaborate with team members;
  • Must be a self-starter, flexible, innovative and adaptive;
  • Effectiveness in working within a large scale and complex matrix organization is essential;
  • Proficient in MS Office applications (Excel, Word, PowerPoint);
  • Willingness to travel.

What we offer:
  • Opportunity of professional development in the international and well-established company
  • Learning opportunities and challenging assignments in which you can utilize your knowledge
  • Competitive social benefits (medical care, Benefit System, life insurance and other)