Compliance Risk Management Senior Analyst (Regional Enterprise Operations and Technology) - Assistant Vice President

Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM) responsible for 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.

Responsibilities:

• Provide support to Regional Enterprise Operations and Technology (EO&T) Compliance Head and team.
• Execute the Global Product Function Independent Compliance Risk Management (PFICRM) Procedure in conjunction with Country ICRM and Regional EO&T ICRM
• Track, analyse and disseminate regulatory changes, particularly in relation to EO&T;
• Follow up with impacted business units/functions to ensure impact assessment, action plans and required documentation;
• Review, analyse and provide credible challenge to EO&T Business and functions business units/functions for regulatory changes, outsourcing initiatives, third party engagement, cross border transfer of data initiatives/arrangements and other items falling under Product and Function Compliance's scope.
• Assist Country Compliance Officer and Central Compliance Lead in execution of compliance initiatives relevant to EO&T;
• Coordinate responses to regulatory inquiries, surveys and periodic reports as needed, answer ad hoc queries from the regulator and coordinate with EO&T
• Be the central point of contact for Technology compliance risk management activities by the First Line
• Provide regulatory advice to and support for EO&T
• Coordinate among Country ICRM officers responsible for various businesses and functions as needed
• Any additional duties that may be assigned which has been agreed between the Regional EO&T Compliance Head and Central Compliance Lead.
• Participating in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
• Analyzing comparative data and preparing regional and global reports related to compliance risk assessments, and monitoring of compliance related issues.
• Reviewing materials to ensure compliance with various regulatory and legal requirements. Identifying and addressing potential risks.
• Investigating and assisting in responses to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management on how to proceed, and preparing responses for the regulatory inquiries.
• Monitoring adherence to Citi's Compliance Risk Policies and relevant procedures.
• Preparing, editing and maintaining Compliance program related materials.
• Interacting and working with other areas within Citi, as necessary.
• Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
• Additional duties as assigned.
• Has the ability to operate with a limited level of direct supervision.
• Can exercise independence of judgement and autonomy.
• Acts as SME to senior stakeholders and /or other team members.
• 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.

Qualifications:

• 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

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 preferred

Job Family Group:
Compliance and Control

Job Family:
Compliance Risk Management

Time Type:
Full time

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