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Compliance Reg Exam Management Senior Officer II Pre Exam Management

Company: Citi
Location: Sayreville
Posted on: July 29, 2020

Job Description:

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)s Exam Management and Regulatory Liaison Office responsible for the promotion, support, monitoring and reporting on Citis interactions with its regulators, including queries arising in the normal course of business outside of specific examinations, and managing supervisory examinations, globally.Responsibilities:Executing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm''s risk appetite and protect the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework.To allow for more strategic engagement and earlier planning in the exam management process, this Director role will lead RLSEM efforts in developing exam readiness processes and protocols. The Director will work with ICRM RLSEM leaders as well as Product, Function and Jurisdiction leads to prioritize reviews/areas in need of enhanced regulatory exam readiness. A key goal of this activity will be to link common areas of focus across the supervisory events/reviews and ensure businesses/functions are fully aware of how activities and the pending supervisory events may impact the firm more holistically.Coordinating interactions with regulators, including but not limited to: assisting in providing oversight for supervisory examinations and be a central contact for regulators; coordinating and managing events related to examinations and continuous monitoring, including working with businesses and functions in negotiating scope and timing of reviews, monitoring requested data aggregation and coordinating and attending regulatory meetings with control functions and business unit personnel; and collaborating with Business Heads to provide guidance on regulatory matters and continually enhancing the framework to identify, assess, control, and monitor regulatory communication.Providing strategic advice and regular updates to management (including prepare business personnel for meetings with regulators) regarding the matters being handled, including, but not limited to, collection, tracking and resolution of queries, review with the area under examination the materials requested to ensure completeness and responsiveness of submissions, and the timely escalation and resolution of potential issues.Communicating extensively (orally and in writing) and developing effective relationships with regulators.Establishing and developing effective relationships within Citigroup senior management, front line, second line (including independent risk, finance, HR, and Legal), Internal Audit, Board and legal entity management and boards to obtain information / documentation to respond to regulatory requests proactively and on time with quality.Identifying mitigating facts and circumstances (as applicable) to respond to potential issues identified during the examination, pre-exam sessions and post exam sessions.Monitoring the full lifecycle of identified regulatory issues ensuring that concerns are communicated, assigned responsibility, and tracked to resolution.Maintaining the centralized repository where documents are stored and previous regulatory and supervisory findings, reports and similar documents.Developing a valued interactive program of support and compliance risk management services covering the assessment and reporting of Key Compliance Risks across businesses and products, legal entities and jurisdictions, providing stakeholders with insight and practical solutions to improve the control culture and environment across Citigroup.Partnering closely with the Head of AML to ensure a strong linkage between ICRM and AML.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.Qualifications:Highly motivated, strong attention to detail, team oriented, organizedExcellent written, verbal and analytical skillsStrong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messagingAbility to interact and communicate effectively with senior leadersSignificant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controlsExperience in the design and implementation of Compliance programsDemonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholdersAbility to influence and lead people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse businessesExperience with and previous exposure to internal or external control functions and regulators (incl. the US)Ability to challenge business management and escalate issues when appropriateStrong track record of effectively assessing and managing competing prioritiesComfort navigating complex, highly-matrixed organizationsComfortable acting as an agent for positive change with agility and flexibilityEffective negotiation skills, a proactive and ''no surprises'' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essentialSubject matter expertise 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; extensive experience in area of focus; Advanced degree a plus-------------------------------------------------Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US------------------------------------------------------Time Type :------------------------------------------------------Citi is an equal opportunity and affirmative action employer.Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.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 CLICK HERE.To view the "EEO is the Law" poster CLICK HERE. To view the EEO is the Law Supplement CLICK HERE.To view the EEO Policy Statement CLICK HERE.To view the Pay Transparency Posting CLICK HERE.by Jobble

Keywords: Citi, Sayreville , Compliance Reg Exam Management Senior Officer II Pre Exam Management, Executive , Sayreville, New Jersey

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