- Develops, implements, and executes compliance testing, continuous assurance, and reporting programs within assigned region for a component of a product line, function, or legal entity in accordance with Compliance Testing (CT) Plan.
- Participates in the planning, executing, and reporting of compliance assurance 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 CTA Plan.
- Performs compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined testing plan and reports any findings to the Compliance Testing Management team as necessary and documents them accordingly.
- Utilizes innovative compliance 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 CT 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 CT 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
- 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 testing, and reporting activities.
- Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities.
- Extensive global compliance and audit related experience, and strong knowledge of business processes.
- Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills.
- Understanding of relevant rules, laws, regulations, and specific regulatory requirements. 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; experience in compliance, internal or external auditing, 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 or relevant certification a plus.
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AVP, Compliance Testing - Hong Kong, 香港 - 11062 Citibank, N.A. Hong Kong
描述
Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure to senior leaders, as well as more traditional learning. You'll also have the chance to give back and make a positive impact where we live and work through volunteerism.
Shape your Career with Citi
Citi's Global Legal Affairs and Compliance (GLAC) empowers and protects Citi by providing legal, compliance, investigative, and security services to our firm. We manage compliance risk, provide legal analysis and advice, protect Citi's people and businesses, advocate for legal and regulatory outcomes that benefit our firm and our clients, and ultimately promote behavior that is consistent with Citi's mission and culture.
We're currently looking for a high caliber professional to join our team as AVP, Compliance Testing Senior Analyst - AML, Sanctions, AB&C - Markets - Hybrid (Internal Job Title: Compliance Testing Senior Analyst - C12) based in One Bay East, Hong Kong. Being part of our team means that we'll provide you with the resources to meet your unique needs, empower you to make healthy decision and manage your financial well-being to help plan for your future. For instance:
Position summary:
Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Testing team responsible for assessing compliance risks and controls implemented by Citi's first and second line of defense. The Compliance Testing Sr. Analyst performs risk-based testing of Citi's compliance risks in order to assess the design and effectiveness of key controls, reporting, and escalates any violations of laws or breaches of policy identified while consistently validating the adequacy of measures used to address reported issues.
In this role, you're expected to:
As a successful candidate, you'd ideally have the following skills and exposure:
Job Family Group:
Compliance and Control
Job Family:
Testing
Time Type:
Full time
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 .
