Compliance Independent Assessment Officer Job at Citi (Gurgaon)

Compliance Independent Assessment Analyst Assistant Vice President

Location

Mexico , Ciudad De Mexico

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

5-8 years of experience
Knowledge of Compliance laws, rules, regulations, risks and typologies
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 testing, and reporting activities
Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
Extensive global compliance and audit related experience, and strong knowledge of business processes
Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills
Understanding of relevant rules, laws, regulations, and specific regulatory requirements
Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
Effectiveness in working within a large scale and complex matrix organization is essential
Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of multiple business lines and control functions

Job Responsibility

Develops, implements, and executes compliance testing, continuous assurance, and reporting programs within assigned region for a component of a product line, function, or legal entity in accordance with Compliance Testing (CT) Plan
Participates in the planning, executing, and reporting of compliance assurance testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CTA Plan
Performs compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined testing plan and reports any findings to the Compliance Testing Management team as necessary and documents them accordingly
Utilizes innovative compliance testing solutions including Data Analytics to enhance the value and efficiency of compliance-related activities to address emerging risks
Develops effective and collaborative relationships with stakeholders within and outside the CT function and outside stakeholders, such as business and technology process owners, and promotes the education and best practices across ICRM and the business
Promoting knowledge sharing and promulgation of best practices across ICRM and the business
Escalating to CT management significant compliance matters that require their attention or action
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

Fulltime

Compliance Independent Assessment Analyst

Serves as a senior compliance risk analyst for Independent Compliance Risk Manag...

Location

Philippines , City of Taguig

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

5-8 years of experience
Knowledge of Compliance laws, rules, regulations, risks and typologies
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 testing, and reporting activities related to Markets, Swap Dealer, Volcker and Counterparty Trading & Risk
Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
Extensive global compliance and audit related experience, and strong knowledge of business processes
Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills
Understanding of relevant rules, laws, regulations, and specific regulatory requirements
Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
Effectiveness in working within a large scale and complex matrix organization is essential
Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of multiple business lines and control functions

Job Responsibility

Develops, implements, and executes compliance testing/ monitoring, continuous monitoring, and reporting programs for a component of a product line, function, or legal entity in accordance with CIA Plan
Participates in the planning, executing, and reporting of compliance monitoring/ testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity in accordance with CIA Plan
Performs compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined monitoring/testing plan and reports any findings to the CIA Management as necessary and documents them accordingly
Utilizes innovative compliance monitoring/ testing solutions including Data Analytics to enhance the value and efficiency of compliance-related activities to address emerging risks
Develops effective and collaborative relationships with stakeholders within and outside the CIA function and outside stakeholders, such as business and technology process owners, and promotes the education and best practices across ICRM and the business
Promoting knowledge sharing and promulgation of best practices across ICRM and the business
Escalating to CIA management significant compliance matters that require their attention or action
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

Fulltime

Compliance Independent Assessment Analyst

Serves as a senior compliance risk analyst for Independent Compliance Risk Manag...

Location

Philippines , City of Taguig, Metro Manila

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

5-8 years of experience
Knowledge of Compliance laws, rules, regulations, risks and typologies
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 testing, and reporting activities related to Markets, Swap Dealer, Volcker and Counterparty Trading & Risk
Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
Extensive global compliance and audit related experience, and strong knowledge of business processes
Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills
Understanding of relevant rules, laws, regulations, and specific regulatory requirements
Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
Effectiveness in working within a large scale and complex matrix organization is essential
Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of multiple business lines and control functions

Job Responsibility

Develops, implements, and executes compliance testing/ monitoring, continuous monitoring, and reporting programs for a component of a product line, function, or legal entity in accordance with CIA Plan
Participates in the planning, executing, and reporting of compliance monitoring/ testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity in accordance with CIA Plan
Performs compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined monitoring/testing plan and reports any findings to the CIA Management as necessary and documents them accordingly
Utilizes innovative compliance monitoring/ testing solutions including Data Analytics to enhance the value and efficiency of compliance-related activities to address emerging risks
Develops effective and collaborative relationships with stakeholders within and outside the CIA function and outside stakeholders, such as business and technology process owners, and promotes the education and best practices across ICRM and the business
Promoting knowledge sharing and promulgation of best practices across ICRM and the business
Escalating to CIA management significant compliance matters that require their attention or action
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

Fulltime

Compliance Independent Assessment Analyst

Serves as a senior compliance risk analyst for Independent Compliance Risk Manag...

Location

India , Haryana

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

5-8 years of experience
Knowledge of Compliance laws, rules, regulations, risks and typologies
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 testing, and reporting activities
Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
Extensive global compliance and audit related experience, and strong knowledge of business processes
Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills
Understanding of relevant rules, laws, regulations, and specific regulatory requirements
Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
Effectiveness in working within a large scale and complex matrix organization is essential
Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of multiple business lines and control functions

Job Responsibility

Develops, implements, and executes compliance testing, continuous assurance, and reporting programs within assigned region for a component of a product line, function, or legal entity in accordance with Compliance Testing (CT) Plan
Participates in the planning, executing, and reporting of compliance assurance testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CTA Plan
Performs compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined testing plan and reports any findings to the Compliance Testing Management team as necessary and documents them accordingly
Utilizes innovative compliance testing solutions including Data Analytics to enhance the value and efficiency of compliance-related activities to address emerging risks
Develops effective and collaborative relationships with stakeholders within and outside the CT function and outside stakeholders, such as business and technology process owners, and promotes the education and best practices across ICRM and the business
Promoting knowledge sharing and promulgation of best practices across ICRM and the business
Escalating to CT management significant compliance matters that require their attention or action
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

Compliance Officer (Client Review)

Location

Switzerland , Zurich

Salary:

Not provided

Nicoll Curtin

Expiration Date

Until further notice

Requirements

Around 3+ years of experience in AML and Compliance
Experience within financial services or another regulated environment
Strong analytical and problem-solving skills
Structured and independent working style
Strong communication and stakeholder management skills
Fluent German is nice to have
Fluent English skills required

Job Responsibility

Review prosecutor orders and assess potential money laundering relevance (MROS)
Handle AML investigations and case management activities
Prepare and submit money laundering reports to MROS when required
Collaborate with internal stakeholders on compliance-related matters
Ensure adherence to regulatory requirements and internal policies
Support ongoing AML and compliance initiatives

Fulltime

Country Compliance Officer UAE - Director

The Citi Country Compliance Officer (CCCO) is responsible for overseeing the Com...

Location

United Arab Emirates , Dubai

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Credibility as a subject matter expert and experience of dealing with issues that have a high impact at all levels of the organization
Experience of working with key country level regulators and industry associations
Knowledge of local regulatory requirements and obligations and the ability to identify emerging compliance issues and themes
An ability to influence senior business leaders on all compliance risk-related matters affecting the business. The individual should have the ability to independently challenge, when needed, while at the same time being supportive and solution-based and not being perceived as obstructive
An ability to be hands on and in the trenches with the direct team, while also bringing a sense of strategic vision and a global sensibility to the function
Ability to navigate and negotiate through conflicting demands to maintain focus on priority objectives while ensuring key stakeholders needs are met
Strong team leadership, communication, interpersonal and management skills, with a track record of leading through change and the ability to effectively communicate the strategic vision to various stakeholder groups
Effective negotiation skills, a proactive and no surprises approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management and influencing skills are essential
The ability to thrive and execute in a complex, highly matrixed, global environment
Fluency in English language required and local language proficiency

Job Responsibility

Key Activities Governance and Organization: Annual Country Compliance Plan: Preparing, obtaining approval and successfully completing an annual compliance risk management plan, in accordance with the global template and content and presentation requirements, setting out how compliance risk will be managed within the jurisdiction and its constituent parts, and the role to be played by ICRM in order to achieve the plan
Identification of the jurisdictional requirements, accountabilities and the process ownership and monitoring and testing ownership, as well as the determination of suitable staffing, hours required and secured budget in order to achieve the state of compliance within risk appetite will be set out in the plan, which will be reviewed quarterly with the jurisdictional CCC and ICRM, as well as any applicable legal entity, as well as where required by applicable regulatory agencies
State of Compliance Reporting: Preparing quarterly, in accordance with the approved global format, and in adherence to all established requirements for the State of Compliance reporting
Enhancing Governance: Providing a valued interactive program of support and compliance risk management services covering the assessment and reporting of Key Compliance Risks across products, services, functions, legal entities, service centers and the jurisdiction as a whole
Timely reporting of significant local regulatory issues to local, overseas, regional, and global stakeholders
Maintaining on-going assessment and reporting of the State of Compliance through the relevant corporate governance committees such as country audit committee(s) and/or subsidiary board(s), country coordinating committee and business risk management committee, and other management
Stakeholder Support and Relationships: Developing senior management relationships, including with legal entity management focus, inclusive of non-executive directors (where they exist in the jurisdiction), and the CCO as well as product functional and entity/service center line management
Proactively anticipate and help the business and functions plan for changes in the compliance and regulatory environment in the country
Build and maintain strong relationships with other functional leads, including Legal, Risk Management, including Operational Risk Management, and Internal Audit to create a supportive and seamless compliance and ethical control culture and an appropriate conduct risk environment
Regulatory Management and Coordination: Supporting the Citi Country Officer (CCO) in the management and development of regulatory relationships

What we offer

Learn About Global Benefits

Fulltime

Senior Lead Compliance Officer - Structured Products Group (SPG)

We are seeking a highly experienced Senior Lead Compliance Officer to support th...

Location

United States , Charlotte; New York

Salary:

159000.00 - 305000.00 USD / Year

Wells Fargo

Expiration Date

Until further notice

Requirements

7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Advanced degree or professional certification (e.g., JD, CRCM)
Strong expertise in FINRA, SEC, FRB, and OCC regulations related to broker-dealer, ABS, and capital markets activities
Experience with Fixed Income and Structured Products compliance programs
Familiarity with traditional lending regulations (e.g., Reg B, FCRA, UDAAP, SCRA, Reg W, Reg O, FDPA)
Knowledge of CFPB and consumer lending regulatory frameworks
Proven experience drafting policies and procedures and delivering compliance training
Strong communication, analytical, and problem-solving skills, with the ability to produce executive-ready materials
Demonstrated ability to manage multiple priorities in a fast-paced environment
Ability to work independently and collaboratively in a team-oriented setting

Job Responsibility

Serve as a subject matter expert on regulatory requirements impacting SPG, including Regulation AB, Regulation RR, Volcker Rule, TRACE, and other applicable FINRA, SEC, FRB, and OCC rules
Execute and support day-to-day compliance activities related to Structured Products origination, syndication, and lending, serving as a primary compliance resource for SPG
Provide compliance advisory support for ABS issuance, syndication, and lending activities, including responding to stakeholder inquiries and issue escalation
Oversee and challenge Front Line execution of the SPG compliance program, ensuring adherence to regulatory requirements and internal policies
Develop, implement, and monitor risk-based compliance programs, controls, and initiatives aligned to the SPG mandate
Provide regulatory compliance risk expertise for high-risk projects, new products, and business initiatives
Conduct compliance risk assessments and support regulatory exams, audits, and inquiries
Monitor and assess regulatory developments, industry practices, and emerging risks, evaluating their impact on SPG activities and internal policies
Support regulatory change management, including corrective action planning and execution tracking
Prepare and deliver management-ready communications and reporting on compliance issues, risks, and activities

What we offer

Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement

Fulltime

Trade and Working Capital Product Compliance Officer

Serves as a function/business/product compliance risk officer for Independent Co...

Location

Malaysia , Kuala Lumpur

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Knowledge of Trade and Working Capital Compliance laws, rules, regulations, risks and typologies
Experience in interpreting regulations, providing guidance on US export control, Anti-boycott, and Dual use goods regulations
Working knowledge of Letters of Credit, Bonds, Guarantee and Standby Letters of Credit with relevant practices e.g., UCP 600, ISP98 and URDG 758
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
Excellent project management and organizational skills and capability to handle multiple projects at one time

Job Responsibility

Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM
Review and disposition Trade transactions that are escalated under these Case Types ( Boycott clause, Export Controls and Military/Lethal concern
Providing guidance on rules and regulations relating to Trade and Working Capital product, as well as, provide transactional approvals and interpretation of internal compliance policies
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 function/business/product
Supporting the function/business/product in performing timely compliance reviews of new products
Assisting in the development and administration of Compliance training for the supported function/business/product
Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules
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

What we offer

extensive on-the-job training and exposure to senior leaders
more traditional learning
chance to give back and make a positive impact through volunteerism
programs and services for your physical and mental well-being including access to telehealth options, health advocates, confidential counseling
access to an array of learning and development resources

Fulltime

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Compliance Independent Assessment Officer

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