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Compliance Regulatory and Exam Management Officer.

Company: Citi
Location: New York
Posted on: June 15, 2019

Job Description:

Primary Location: United States,New York,New York. Education: Bachelor's Degree. Job Function: Compliance and Control. Schedule: Full-time. Shift: Day Job. Employee Status: Regular. Travel Time: Yes, 10 % of the Time. Job ID: 19027647. Description. About Citi: Citi, the. leading global bank, has approximately 200 million customer accounts and does. business in more than 160 countries and jurisdictions. Citi provides consumers,. corporations, governments and institutions with a broad range of financial. products and services, including consumer banking and credit, corporate and. investment banking, securities brokerage, transaction services, and wealth. management. Our core activities are. safeguarding assets, lending money, making payments and accessing the capital. markets on behalf of our clients. Citi's Mission. and Value Proposition explains. what we do and Citi. Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our. clients by responsibly providing financial services that enable growth and. economic progress. We strive to earn and maintain our clients' and the public's. trust by constantly adhering to the highest ethical standards and making a. positive impact on the communities we serve. Our Leadership Standards is a. common set of skills and expected behaviors that illustrate how our employees. should work every day to be successful and strengthens our ability to execute. against our strategic priorities. Diversity. is a key business imperative and a source of strength at Citi. We serve clients. from every walk of life, every background and every origin. Our goal is to have. our workforce reflect this same diversity at all levels. Citi has made it a. priority to foster a culture where the best people want to work, where. individuals are promoted based on merit, where we value and demand respect for. others and where opportunities to develop are widely available to all. Key Responsibilities: 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. Citi's interactions with its regulators, including queries arising in the. normal course of business outside of specific examinations, and managing. supervisory examinations, globally. Key Activities include: Participating. in the execution of 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. Coordinating. interactions with regulators, including but not limited to: assisting in. providing oversight for supervisory examinations and being 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. regular updates to management (including preparing 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 to obtain information / documentation to respond to regulatory. requests proactively and on time with quality. Analyzing,. digesting and summarizing information/documentation responsive to regulatory. requests. 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. Stewarding. the drafting of the firm's Response Letters and coordinating involvement of. relevant internal stakeholders such as Technology and Internal Audit on the. development of Corrective Action Plans and associated target dates. Additional. duties as assigned. Qualifications. Bachelor's. 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 area of focus. Knowledge of Compliance rules, regulations, risks and typologies. Experience with or previous exposure to internal control functions. and regulators within the region, and in particular banking regulators. 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. written and verbal communication and interpersonal skills. Ability to both work collaboratively and. independently; ability to navigate a complex organization. Advanced. analytical skills. Ability. to both work independently and collaborate with team members. Excellent. project management and organizational skills and capability to handle multiple. projects at one time. Proficient. in MS Office applications (Excel, Word, PowerPoint). Demonstrated. knowledge in area of focus. Preferred: Advanced degree (e.g. JD, MBA) a plus.

Keywords: Citi, New York , Compliance Regulatory and Exam Management Officer., Accounting, Auditing , New York, New York

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