Compliance Regulatory Exam Management Intermediate Analyst
Description PRIMARY RESPONSIBILITIES
- Primary Location: United Kingdom,Northern Ireland,Belfast
- Education: Bachelor's Degree
- Job Function: Compliance and Control
- Schedule: Full-time
- Shift: Day Job
- Employee Status: Regular
- Travel Time: No
- Job ID: 19030529
Key Activities - Please list in order of importance/time spent (highest to lowest)
Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for promoting, supporting, 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:
• Supporting Exam Management and Regulatory Liaison senior staff in establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and designing and delivering a risk management framework.
• Assisting with the coordination and execution of regulatory exams; including franchise relevant regulatory reviews and other supervisory activity impacting Citi businesses and control functions.
• Working with the supervisory agency teams, including drafting responses to ad hoc requests/inquiries.
• Working with regional Exam Management and Regulatory Liaison Offices, local advisory Compliance teams, Business, Risk, Legal, Operations, and Technology to gather and produce responsive documents and information.
• Supporting senior management in the proactive identification and escalation of issues raised in the course of regulatory exams and supervisory activity.
• Assisting with promoting awareness of trends identified during exam management.
• 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.
• Assisting in the preparation of 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
- Education level and/or relevant experience(s)
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 Preferred:
Advanced degree (e.g. JD, MBA) a plus Knowledge and skills Required:
- 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
- Strong project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Some knowledge in area of focus
- Other Requirements (licenses, certifications, specialized training, physical or mental abilities required)
Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience. Valuing Diversity:
Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success.
Citi is an Equal Opportunities Employer