Compliance Independent Assessment Analyst, Assistant Vice President

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Citi’s Independent Compliance Risk Management (ICRM) is an independent control function that provides guidance and challenge to the firm, managing compliance risk and promoting behavior that is consistent with Citi’s mission.

Serves as a Compliance Risk Officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing independent assessment activities (testing and 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.

We’re currently looking for a high caliber professional to join our team as Compliance Independent Assessment Analyst, Assistant Vice President based in Taguig City, Philippines. Being part of our team means that we’ll provide you with the resources to meet your unique needs, empower you to make healthy decisions and manage your financial well-being to help plan for your future.

• Develops, implements, and executes compliance testing, targeted assessment, continuous monitoring, and reporting programs for a component of a product line, function, or legal entity in accordance with Compliance Independent Assessment (CIA) Plan.
• Participates in the planning, executing, and reporting of compliance monitoring and 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 testing and monitoring plan and reports any findings to the CIA review manager, as necessary and documents them accordingly.
• Utilizes innovative compliance monitoring and 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.

• 5-8 years of experience
• Knowledge of Compliance laws, rules, regulations, risks and typologies. Working experience in assessing business compliance with markets regulations is preferred.
• Experience in auditing, compliance testing reviews or monitoring , including audit/review 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 business (Equities, FX, Credit, Rates, OTC derivatives)
• Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills.
• 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.
• Recommends appropriate and pragmatic appropriate solutions to risk and control issues.
• Applies knowledge of key regulations to influence audit testing review scope.
• Develops effective line management relationships to ensure strong understanding of the business.
• Must be a self-starter, flexible, innovative, and adaptive.
• Works collaboratively with regional and global partners in other functional units.; ability to navigate a complex organization.
• Proficient in MS Office applications (Excel, Word, PowerPoint)

• Bachelor’s degree graduate; Advanced degree or relevant certification a plus.

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