Compliance Testing Senior Officer - Equities & Spread Products Job at Citi (London)

Job Description

Serves as a senior 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 (testing and on-going monitoring) 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, continuous testing, and reporting programs 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 in accordance with CIA Plan
Serving as a lead reviewer for complex reviews, analysing report findings, and communicating findings to corresponding control/process owners
Ensuring the timely delivery of high quality, value-added testing reports for a portfolio of business activities, which meet the requirements of the Boards of Citigroup and Citibank, their affiliates, and of Citi’s respective regulators, globally
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, Risk management 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

Requirements

Extensive experience in Compliance Testing
Expertise in Equities and/or Spread Products
Expertise of Compliance laws, rules, regulations, risks and typologies
Extensive experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities for global businesses/programs
Knowledge and extensive 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
Demonstrated career progression within highly respected diversified institutions with complex and diverse products and customers
Understanding of rules, laws, and regulations, and specific regulatory requirements impacting financial services
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 business lines and control functions
Ability to work collaboratively with regional and global partners in other functional units
ability to navigate a complex organization
to influence and lead people across cultures at a senior level
Experience in managing regulatory exams and relationships with examiners, auditors, etc.
Awareness of regulatory requirements including local and US laws, international and industry standards
Bachelor's/University degree, Master's degree preferred

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Compliance Testing Senior Officer - Equities & Spread Products

Job Description

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