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Compliance Regulatory and Exam Management Officer

Company: Citi
Location: East Rockaway
Posted on: October 23, 2019

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 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:

  • 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.
  • 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:
    • 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
    • Effective interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
    • Consistently demonstrates clear and concise 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 Education:
      • 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-------------------------------------------------Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US------------------------------------------------------Time Type :Full time------------------------------------------------------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.

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

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