CrawlJobs Logo

Senior Auditor - Regulatory Issue Validation

https://www.citi.com/ Logo

Citi

Location Icon

Location:
India , Mumbai

Category Icon
Category:
Finance

Job Type Icon

Contract Type:
Not provided

Salary Icon

Salary:

Not provided
Save Job
Save Icon
Apply Position

Job Description:

The Senior Auditor in Legal and Compliance Validations U.S. is an intermediate level role responsible for performing regulatory issue validation with coverage over the second line of defense. The overall objective is to utilize subject matter expertise to contribute to the regulatory issue validation process.

Job Responsibility:

  • Perform regulatory issue validation, drafting work papers, presenting issues to the business, and discussing practical solutions
  • Complete assigned validations within budgeted timeframes, and budgeted costs
  • Contribute to the development of audit processes improvements, including the development of automated routines
  • Apply internal audit standards, policies, and regulations to provide timely audit assurance
  • Develop effective line management relationships to ensure strong understanding of the business
  • Has the ability to operate with a limited level of direct supervision
  • Can exercise independence of judgement and autonomy
  • Acts as SME to senior stakeholders and /or other team members
  • 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

Requirements:

  • 6-8 years of relevant internal audit experience
  • Experience validating regulatory or audit issues
  • Audit experience in Legal & Compliance, AML, Markets, or Services
  • Effective verbal and written communication and negotiation skills
  • Subject matter expertise regarding audit technology’s application
  • Effective project management skills
  • Effective influencing and relationship management skills
  • Demonstrated ability to remain unbiased in a diverse working environment
  • Bachelor’s/University degree or equivalent experience
What we offer:
  • Access to telehealth options, health advocates, confidential counseling
  • Expanded Paid Parental Leave Policy
  • Resources to manage financial well-being
  • Access to learning and development resources
  • Generous paid time off packages
  • Resources and tools to volunteer in the communities

Additional Information:

Job Posted:
March 22, 2025

Employment Type:
Fulltime
Work Type:
Hybrid work
Icon
Citi - All Job Offers
Job Link Share:
Copy Link Icon
Facebook Icon Twitter Icon LinkedIn Icon
PREMIUM
More languages and countries
+ Unlock 31694 hidden job offers
Languages
English Čeština Deutsch Ελληνικά Español Français +15
Countries
United States United Kingdom India Canada Australia +
See plans
Plans from $2.99 / month

Looking for more opportunities? Search for other job offers that match your skills and interests.

Briefcase Icon

Similar Jobs for Senior Auditor - Regulatory Issue Validation

Senior Auditor

The Senior Auditor is an intermediate level role responsible for performing mode...
Location
Location
Singapore , Singapore
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 5-8 years of relevant experience
  • Related certifications [CPA, ACA, CFA, CIA, CISA or similar] preferred
  • Effective verbal, written and negotiation skills
  • Effective project management skills
  • Effective influencing and relationship management skills
  • Demonstrated knowledge and understanding of End-to-End trading life cycle controls across major business lines
  • Previous experience of working in Markets
  • Experience in Power BI/Tableau/Data Analytics/Python/Structured Query Language (SQL)
Job Responsibility
Job Responsibility
  • Complete assigned audits and regulatory validations within budgeted timeframes, and budgeted costs
  • Monitor, assess, and recommend solutions to emerging risks
  • Contribute to the development of audit processes improvements, including the development of automated routines to help focus audit testing
  • Occasionally manage a small team of internal audit professionals that performs complex audits
  • Assist in drafting audit issues, and present them to the business while discussing practical cross-functional solutions
  • Recommend appropriate and pragmatic solutions to risk and control issues
  • Apply understanding of internal audit standards, policies, and relevant regulations to provide timely audit assurance
  • Contribute to the periodic refresh of Citi's Risk Governance Framework with a focus on Principle Risk Reporting for Markets
  • Develop other internal audit staff, and work in constant collaboration with peers around the global team
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets
What we offer
What we offer
  • Expanded Paid Parental Leave Policy
  • Supportive financial well-being programs
  • Generous paid time off packages
  • Career growth opportunities
  • Opportunities to give back through volunteerism
  • Fulltime
Read More
Arrow Right

Compliance Testing Senior Officer - Equities & Spread Products

Serves as a senior compliance risk officer for Independent Compliance Risk Manag...
Location
Location
United Kingdom , London
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
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
Job Responsibility
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
  • Fulltime
Read More
Arrow Right

Chief Auditor - Legal, Compliance & Risk - International, Managing Director

The Chief Auditor is a senior level management position responsible for managing...
Location
Location
Singapore , Singapore
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 15+ years of experience in a related role
  • Related certifications (CPA, ACA, CFA, CIA, CISA or similar) preferred
  • Extensive understanding of Banking, Services, Markets, Credit Card and Wealth businesses, and the design and operation of risk and control frameworks associated with these, that preferably includes Internal Audit experience
  • Demonstrable knowledge of Risk Management disciplines across financial and non-financial risks, including a broad experience of the management of regulatory requirements and associated regulatory interaction. Direct experience of interaction with regulators including Singapore (MAS), Hong Kong (HKMA), UK (PRA / FCA), Europe (ECB / CBI / BaFin), and India (RBI) is preferred
  • Executive presence and expert in building and maintaining strong open relationships with executive stakeholders, working as a partner, exerting influence and providing credible challenge in a constructive manner
  • Advanced understanding of culture, ethical conduct, governance, risk management and control frameworks in leading international organizations
  • Ability to quickly comprehend the full risk implications of complex global issues, escalate to the appropriate level and provide advice and on pragmatic commercial solutions
  • Outstanding performer, open minded, resilient, agile, energetic, self-starter, articulate and empathetic whilst being confident to deliver opinions to bring about positive outcomes
  • Strong leadership skills including a track record of identifying and developing world class talent. Experienced in leading large, dispersed and diverse professional teams
  • Bachelor's degree / University degree or equivalent experience
Job Responsibility
Job Responsibility
  • Audit Plan: Design and implement an audit plan for the function that considers legal entity and country-level regulatory requirements
  • emerging and established risks
  • industry and cluster best practices and external frameworks
  • and considers reliance and interaction with global control frameworks to form an end-to end view of International focused Legal, Compliance & Risk Management risks and controls that cross business functions, geographies and platforms
  • Stakeholder Engagement: Proactively engage with International senior leadership and teams across Legal, Compliance & Risk to provide credible challenge and positively influence Citi's culture, ethical conduct, governance, risk management and control frameworks. Develop and maintain strong working relationships with teams both within Legal, Compliance & Risk Audit, as well as across IA Product and Functions teams globally. Leverage the feedback received to continually update and refine IA's assessment of key risks, and to identify new and optimized ways of auditing the environment to maximize the insight achieved
  • Regulatory Relationship Management including International Regulatory Issue Validation: As part of the broader Legal, Compliance & Risk IA Leadership Team, contribute to managing IA's non-US regulatory relationships resulting in constructive two-way dialogue, trust in the IA function and reliance being placed where appropriate on IA's work related to Legal, Compliance & Risk. Engage actively with Regulatory Issue owners on the validation of regulatory issues, ensuring timelines are met and regulatory intent is addressed
  • IA Team: Attract, motivate and develop a highly effective, diverse, talented and trusted team. Work with other IA Chief Auditors to maximize the efficiency and effectiveness of IA resources, taking into consideration the experience and location of the team, as well as leveraging different audit approaches and best practice. Identify and develop talent, providing long-term career opportunities both within IA and across other parts of Citi
  • Fulltime
Read More
Arrow Right

Audit Director

The Audit Director is a senior level management position responsible for contrib...
Location
Location
Canada , Mississauga
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 15+ years of experience in a related role
  • Compliance Risk Management experience in second or third line of defense is preferred
  • Demonstrated success in business, functional and people management
  • Consistently demonstrates clear and concise written and verbal communication
  • Demonstrated ability to remain unbiased in a diverse working environment
  • Effective negotiation skills
Job Responsibility
Job Responsibility
  • Leads a global team of auditors to provide timely and complete assurance over the US Regulatory Issue Validations
  • Responsible for planning of audit coverage and delivery of high quality, value-added Regulatory Issue Validations in accordance with audit methodology
  • Leads validations owned by ICRM and coordinates models subject matter expertise for all other audit teams
  • Proactively manages IA’s relationship with multiple internal and external stakeholders, including senior risk and business executives, and government regulators
  • Uses communication and leadership skills to influence a wide range of senior internal and external audiences
  • provides impactful, valuable and ongoing IA input through active interactions with stakeholders and formal participation at key committees and management initiatives
  • Possesses, through direct hands-on experience, a strong understanding of Audit and Compliance
  • maintains an understanding of key relevant regulations, current business practices and industry trends
  • Supports and endorses the Quality Assurance (QA) function of IA, and resolve issues found by QA, improving audit processes and coverage
  • Ensures the adoption of Citigroup and Citibank Audit Committee Charters and the IA Charter, and engages in internal/external negotiations
  • Fulltime
Read More
Arrow Right

Chief Auditor - Legal, Compliance & Risk - International, Managing Director

The Chief Auditor is a senior level management position responsible for managing...
Location
Location
India , Mumbai
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 15+ years of experience in a related role
  • Related certifications (CPA, ACA, CFA, CIA, CISA or similar) preferred
  • Extensive understanding of Banking, Services, Markets, Credit Card and Wealth businesses, and the design and operation of risk and control frameworks associated with these, that preferably includes Internal Audit experience
  • Demonstrable knowledge of Risk Management disciplines across financial and non-financial risks, including a broad experience of the management of regulatory requirements and associated regulatory interaction
  • Direct experience of interaction with regulators including Singapore (MAS), Hong Kong (HKMA), UK (PRA / FCA), Europe (ECB / CBI / BaFin), and India (RBI) is preferred
  • Executive presence and expert in building and maintaining strong open relationships with executive stakeholders, working as a partner, exerting influence and providing credible challenge in a constructive manner
  • Advanced understanding of culture, ethical conduct, governance, risk management and control frameworks in leading international organizations
  • Ability to quickly comprehend the full risk implications of complex global issues, escalate to the appropriate level and provide advice and on pragmatic commercial solutions
  • Outstanding performer, open minded, resilient, agile, energetic, self-starter, articulate and empathetic whilst being confident to deliver opinions to bring about positive outcomes
  • Strong leadership skills including a track record of identifying and developing world class talent
Job Responsibility
Job Responsibility
  • Design and implement an audit plan for the function that considers legal entity and country-level regulatory requirements
  • emerging and established risks
  • industry and cluster best practices and external frameworks
  • and considers reliance and interaction with global control frameworks to form an end-to end view of International focused Legal, Compliance & Risk Management risks and controls that cross business functions, geographies and platforms
  • Proactively engage with International senior leadership and teams across Legal, Compliance & Risk to provide credible challenge and positively influence Citi's culture, ethical conduct, governance, risk management and control frameworks
  • Develop and maintain strong working relationships with teams both within Legal, Compliance & Risk Audit, as well as across IA Product and Functions teams globally
  • Leverage the feedback received to continually update and refine IA's assessment of key risks, and to identify new and optimized ways of auditing the environment to maximize the insight achieved
  • As part of the broader Legal, Compliance & Risk IA Leadership Team, contribute to managing IA's non-US regulatory relationships resulting in constructive two-way dialogue, trust in the IA function and reliance being placed where appropriate on IA's work related to Legal, Compliance & Risk
  • Engage actively with Regulatory Issue owners on the validation of regulatory issues, ensuring timelines are met and regulatory intent is addressed
  • Attract, motivate and develop a highly effective, diverse, talented and trusted team
  • Fulltime
Read More
Arrow Right

Senior Audit Manager

The Senior Audit Manager is a senior level management position responsible for m...
Location
Location
Mexico , Ciudad De Mexico
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 10+ years of experience in a related role
  • Related certifications (CPA, ACA, CFA, CIA, CISA or similar) preferred
  • Demonstrated successful experience in business, functional and people management
  • Proven ability to execute concurrently on a portfolio of high quality deliverables according to strict timetables
  • Demonstrated ability to implement continuous improvement and innovation in audit tools and techniques
  • Consistently demonstrates clear and concise written and verbal communication
  • Demonstrated ability to remain unbiased in a diverse working environment
  • Effective negotiation skills
  • Bachelor’s degree/University degree or equivalent experience
  • Master’s degree preferred
Job Responsibility
Job Responsibility
  • Manage a team of Internal Audit professionals, recruit staff, lead professional development, build effective teams and manage a budget
  • Deliver audit reports, Internal Audit and Regulatory issue validation and business monitoring and governance committee reports
  • Lead reviews for all types of reviews, including the most complex, and review and approve Business Monitoring Quarterly Summaries
  • Participate in major business initiatives and pro-actively advise and assist the business on change initiatives
  • Implement integrated auditing concepts and technology, and follow trends in the Audit field and adapt them for the Audit function
  • Identify solutions for a variety of complex and unique control issues, utilizing complex judgement and sophisticated analytical thought
  • Analyze report findings, and recommend interventions where needed, proposing creative and pragmatic solutions to risk and control issues
  • Partner with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
  • 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
  • Deliver risk-based financial and regulatory audits
  • Fulltime
Read More
Arrow Right

Senior Audit Manager

Citibank, N.A. seeks a Senior Audit Manager for its Irving, Texas location. A te...
Location
Location
United States , Irving
Salary
Salary:
213262.00 USD / Year
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Requires a (3 or 4 year) Bachelor’s degree, or foreign equivalent, in Business Administration, Finance, Accounting, Commerce, or related field
  • 8 years of experience as a Vice President, Associate Director, Group Leader – Analytics, Assistant Manager, or related position involving regulatory compliance audits in the global financial services industry
  • 8 years of experience must include: Reviewing, validating and remediating audit and regulatory issues, validation strategies and completed tests
  • Preparing audit documents for submission to regulators
  • Serving as a liaison to regulators, including explaining internal audit procedures
  • Concurrently managing multiple audit processes and assurance activities, including reviewing internal controls, creating risk and control matrices, supervising design and operating effectiveness testing, reviewing quality of work papers, and reporting and presenting audit findings
  • Analyzing report findings and recommending interventions where needed
  • Proposing solutions to risk and control issues
Job Responsibility
Job Responsibility
  • Lead a team of internal audit professionals who drive the business monitoring and governance initiatives in support of risk and control
  • Develop and retain a highly diverse and effective team, and assign assurance activities to the right resources
  • Escalate issues timely to the appropriate audit owner or responsible Chief Auditor, and partner with them to develop approaches for addressing broader emerging issues
  • Timely engage with the corresponding management to ensure issues are deliberated upon in advance and recommend sustainable corrective actions for mitigating the risks and the controls in failures
  • Lead concurrently multiple assurance activities related to an issue, ensuring deliveries are achieved within the expected budget and timelines
  • Ensure production of audit reports that are complete, insightful, timely, error free and concise
  • Ensure timely delivery of comprehensive regulatory and internal audits and issue validations
  • Support and endorse the Quality Assurance functions of Internal Audit and resolve issues found by QA, and improve audit processes and coverage
  • Assess the quantitative and qualitative factors that constitute inherent and residual risks associated with business decisions and the design of controls in place and their operating effectiveness
What we offer
What we offer
  • medical, dental & vision coverage
  • 401(k)
  • life, accident, and disability insurance
  • wellness programs
  • paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays
  • Fulltime
Read More
Arrow Right

Senior Computer System Validation (CSV) Analyst

We are seeking a highly experienced and detail-oriented Senior Computer System V...
Location
Location
India , Hyderabad
Salary
Salary:
Not provided
nttdata.com Logo
NTT DATA
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Bachelor's degree in Computer Science, Life Sciences, Engineering, or related field
  • 12+ years of hands-on experience in Computer System Validation (CSV) in FDA-regulated industries (Pharmaceuticals, Biotechnology, or Medical Devices)
  • 5+ years of extensive expertise in GAMP 5 methodology
  • Software Development Life Cycle (SDLC)
  • Risk-based validation approaches
  • Data integrity principles (ALCOA+)
  • FDA 21 CFR Part 11 and EU Annex 11
  • Proven experience leading validation projects and working in global, cross-functional teams
Job Responsibility
Job Responsibility
  • Lead the development, review, and approval of Validation Plans, URS, FS, DS, RTM, and Validation Summary Reports
  • Define and implement risk-based validation strategies aligned with GAMP 5
  • Establish and standardize validation documentation practices across projects and systems
  • Ensure all deliverables comply with GxP, FDA, and EU regulatory requirements
  • Oversee execution of IQ, OQ, PQ protocols, ensuring completeness, accuracy, and compliance
  • Provide technical leadership during validation activities and troubleshooting
  • Coordinate with IT, QA, Engineering, and business stakeholders to ensure timely delivery
  • Review and approve test scripts, execution results, and deviation reports
  • Act as a subject matter expert (SME) for FDA 21 CFR Part 11, EU Annex 11, Data Integrity (ALCOA+), GAMP 5 framework
  • Lead risk assessments (FMEA, risk ranking) to define validation scope and effort
  • Fulltime
Read More
Arrow Right