Compliance Exam Management Analyst
Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, support, monitoring and reporting on Citi's interactions with its regulators, including queries arising in the normal course of business outside of specific examinations, and managing supervisory examinations, globally. Responsibilities:
- Supporting Exam Management and Regulatory Liaison senior staff in establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and designing and delivering a risk management framework
- Assisting with the coordination and execution of regulatory exams; including franchise relevant regulatory reviews and other supervisory activity impacting Citi businesses and control functions
- Working with regional Exam Management and Regulatory Liaison Offices, local advisory Compliance teams, Business, Risk, Legal, Operations, and Technology to gather and produce responsive documents and information
- Supporting senior management in the proactive identification and escalation of issues raised in the course of regulatory exams and supervisory activity.
- Participating in UAT testing and working groups on behalf of the Exam Management and Regulatory Liaison Offices to enhance the firm's current regulatory tracking processes, standards and systems
- Assisting in the preparation of internal reporting and ensure tracking of exams (and associated requests) on a timely basis.
- Developing and enhancing globally consistent communication tools/templates/presentations
- 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.
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Strong project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Some knowledge in area of focus
- Bachelor's degree; some experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; Advanced degree a plus
Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - GB
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