Governance, System, Controls & Monitoring Head - Vice President
Serves as a function/business/product compliance risk manager, responsible for assisting with 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. Responsibilities: System & Application
Controls & Monitoring
- Key business lead for end to end project management
- Working closely with Regional and AIA in ensuring the business requirement is being built and deploy as per timeline
- Responsible on system maintenance and upgrades (FNA / iPOS, AIA Online Portal)
- Key point of contact on system enhancement, OPPM (E2E UAT and production deployment)
- BIC and AU Coordinator and responsible in performing ARA and MCA testing on timely manner,
- Identify opportunity to adopt KAAC/ CAATTS on MCA
- Key contact working with Sales Compliance and SPO in making sure robust control process is in place
- Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
- Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported the function/business/product
- Supporting the function/business/product in performing timely compliance reviews of new products
- Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
- Additional duties as assigned.
- 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, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- 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
- Strong written and verbal communication and interpersonal skills
- 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
- Relevant certifications desirable
Job Family Group:
- 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; previous experience managing staff; Advanced degree a plus
Compliance and Control Job Family:
Product Compliance Risk Management Time Type:
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