Compliance Assurance Group Manager, SVP - NAM ICG
Company: Citi
Location: Brandon
Posted on: January 12, 2021
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Job Description:
Serves as a senior compliance risk manager for Independent
Compliance Risk Management (ICRM)s Assurance 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
assurance activities (testing and on-going monitoring) to assess
the design and effectiveness of key controls to address compliance
risk; reporting and escalating control issues and any potential
violations of laws or breaches of policy; and validating adequacy
of remediation taken to address reported issues.Responsibilities:*
Overseeing the development, implementation, and execution of the
compliance testing, continuous assurance, and reporting programs
within an assigned region in accordance with the Compliance
Assurance (CA) Plan.* Managing the planning, execution, and
reporting of compliance assurance 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 CA Plan* Managing a team or multiple teams of
Compliance professionals. Responsible for hiring, compensation,
performance appraisals, staff development, training, etc.*
Developing and executing a CA Pan to monitor for compliance with
rules, laws, and regulations, and internal policies .* Executing
interactive programs of support and assurance, in accordance with
CA requirements, that provide regulators and stakeholders insight
into compliance trends, themes, issues, and root causes.* Managing
and monitoring budgets for assigned CA projects.* Serving as a
manager for complex reviews, analysing report findings, and
communicating findings to corresponding control/process owners.*
Developing CA Risk Assessments and CA Monthly and Quarterly
Reporting Summaries.* Participating in the development and
enhancement of the CA Methodologies and Standards for risk
assessments, testing, monitoring, and reporting.* Analysing and
providing credible challenges to teams assessment of the control
environment (of relevant assessment units), including Managers
Control Assessments (MCA), Internal Audit Assessments (and related
control metrics such as Issues Being Actioned by Management (IBAM),
on-time remediation, Reopens, and MCA effectiveness), Regulatory
Issues (and its metrics), Compliance Assurance Results, and Legal
Matters.* Developing effective relationships within CA function and
with other stakeholders including business and technology process
owners, and Internal Audit function.* Building and managing
relationships with senior functional management executives, as well
as working closely with the regional Compliance Assurance Heads,
regional Heads of Internal Audit, and functional auditors to ensure
delivery of a plan of work that provides assurance over the key
risks for the Global Corporate Functions.* Promoting knowledge
sharing and promulgating of best practices across ICRM and the
business.* Identifying industry best practices and sharing insight
with the CA teams on a regular basis.* Informing CA senior
management of 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, as well as effectively
supervise the activity of others and create accountability with
those who fail to maintain these standards.Qualifications:* Having
expertise and working knowledge of Compliance laws, rules,
regulations, and risks* Demonstrate extensive abilities as a team
leader, which includes creating a positive environment, monitoring
workloads of the team, respecting the work-life quality of team
members, providing candid and meaningful feedback in a timely
manner, and keeping leadership informed of progress* Extensive
global compliance and audit related experience, and strong
knowledge of business processes and IT tools utilized in the
Financial Services Industry* Experience in planning, executing, and
reporting on compliance testing reviews and regulatory issue
validation activities* 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* Senior level
experience in a related role with experience in business,
functional and people management, with proven abilities in taking
responsibility for executing concurrently on a portfolio of high
quality deliverables to stakeholders according to strict
timetables* 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 and
[insert product, function, legal entity or regional nature of role
as required]* 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* Willingness to
travel* Must be a self-starter, flexible, innovative and adaptive*
Highly motivated, strong attention to detail, team oriented,
organized* Strong presentation skills with the ability to
articulate complex problems and solutions through concise and clear
messaging* 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* Advanced knowledge in area of
focusEducation:* Bachelors 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 Cash and Trade products and services for
Institutional Clients ; previous experience managing a diverse
staff; Advanced degree a plusPreferred: 12-15+ years of experience
in the Internal Audit, controls testing, risk management function
at a large financial institution, or as financial regulatory
examinerOther: The following accounting and industry certifications
and licenses are helpful: Certified Public Accountant (CPA),
Chartered Accountant (CA), Certified Management Accountant (CMA),
Chartered Financial Analyst (CFA), Certified Internal Auditor
(CIA), Chartered Alternative Investment Analyst (CAIA), Certified
Risk Manager (CRM), Certified Information Systems Auditor (CISA),
Certification in Risk Management Assurance (CRMA), Financial Risk
Manager (FRM)-------------------------------------------------Job
Family Group: Compliance and
Control-------------------------------------------------Job
Family:Assurance------------------------------------------------------Time
Type:------------------------------------------------------Citi is
an equal opportunity and affirmative action employer.Qualified
applicants will receive consideration without regard to their race,
color, religion, sex, sexual orientation, gender identity, national
origin, disability, or status as a protected veteran.Citigroup Inc.
and its subsidiaries ("Citi) invite all qualified interested
applicants to apply for career opportunities. If you are a person
with a disability and need a reasonable accommodation to use our
search tools and/or apply for a career opportunity review
Accessibility at Citi.View the "EEO is the Law" poster. View the
EEO is the Law Supplement.View the EEO Policy Statement.View the
Pay Transparency Posting
Keywords: Citi, Brandon , Compliance Assurance Group Manager, SVP - NAM ICG, Executive , Brandon, Florida
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