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Citi Logo Citi · Finance

Compliance Testing Officer (Markets - FX and Commodities) - Vice President

United Kingdom, London · Job Posted March 22, 2025

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Job Description

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent testing activities 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.

Job Responsibility

  • Developing, implementing, and executing compliance testing and reporting programs within an assigned region in accordance with the Compliance Independent Assessment (CIA) Plan
  • Participating in the planning, executing, and reporting of compliance 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 Compliance Independent Assessment Plan
  • Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners
  • Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities
  • Developing effective relationships within CIA function and with other stakeholders including Business process owners and Internal Audit function
  • Identifying industry best practices and share insight with the CIA teams on a regular basis
  • Informing CIA management of significant compliance matters that require their attention or action
  • Identifying compliance training resources and tools available centrally to support country/business compliance programs training and research needs

Requirements

  • Compliance Testing experience
  • Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
  • Knowledge and 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 rules, laws, and regulations, specific regulatory requirements, financial services and the following asset classes: commodities and currencies
  • Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
  • Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views
  • Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • Advanced analytical skills
  • Bachelor's/University degree, Master's degree preferred
  • 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 a plus

What we offer

  • Generous holiday allowance starting at 27 days plus bank holidays
  • increasing with tenure
  • A discretional annual performance related bonus
  • Private medical insurance packages to suit your personal circumstances
  • Employee Assistance Program
  • Pension Plan
  • Paid Parental Leave
  • Special discounts for employees, family, and friends
  • Access to an array of learning and development resources
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