Compliance Assurance Sr Analyst, AVP - AML
Posted on: May 15, 2020
Serves as a senior compliance risk analyst on AML, Sanctions and
AB for Independent Compliance Risk Management (ICRM)'s Assurance
team responsible for assessing compliance risks and controls
implemented by the first and second line of defense. Also
responsible for performing independent assurance activities
(testing and on-going monitoring) to assess the design and
effectiveness of key controls designed to address compliance risk;
reporting and escalating control issues and any violations of laws
or breaches of policy; and validating adequacy of remediation taken
to address reported issues
- Developing, implementing, and executing compliance testing,
continuous assurance, and reporting programs within an assigned
region in accordance with the NAM ICRM Compliance Assurance (CA)
AML, Sanctions and AB Plan.
- Participating in the planning, executing, and reporting of
compliance assurance reviews and compliance and regulatory issue
validation activities for a component of a product line, function,
or legal entity within NAM region in accordance with ICRM CA AML,
Sanctions and AB Plan.
- Executing compliance controls testing, transactional testing,
or compliance controls monitoring activities based on the
pre-defined testing plan.
- Documenting findings and report to the Compliance Assurance
- Assisting with development of Compliance Assurance Monitoring
and development and enhancement of the Compliance Assurance and
Internal Audit Methodologies and Standards for auditing, testing,
monitoring, and reporting.
- Utilizing innovative compliance testing solutions including
Data Analytics to increase value and reduce costs of
- Developing effective relationships within the CA function and
with other stakeholders, including business and technology process
owners, and Internal Audit function.
- Promoting knowledge sharing and promulgation of best practices
across ICRM and the business.
- Monitoring the risk environment and assessing emerging risks
through the Business Monitoring process.
- Informing CA management of significant compliance matters that
require their attention or action.
- Additional duties as assigned.Qualifications:
- Knowledge of Compliance laws, rules, regulations, risks and
- Demonstrated knowledge in area of focus (AML, Sanctions and
- 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
- Experience in planning, executing, and reporting on compliance
testing reviews and regulatory issue validation activities.
- Global compliance and audit related experience, and strong
knowledge of business processes.
- Exhibit project management, interpersonal, sound
decision-making, analytical and intuitive thinking skills.
- Understanding of rules, laws, regulations, and specific
- 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 interactions
with non-executive and executive management and across a number of
business lines and control functions.
- Recommends appropriate and pragmatic solutions to risk and
- Applies knowledge of key regulations to influence audit
- Develops effective line management relationships to ensure
strong understanding of the business.
- Must be a self-starter, flexible, innovative and adaptive.
- Work collaboratively with regional and global partners in other
functional units; ability to navigate a complex organization.
- Proficient in MS Office applications (Excel, Word,
- Bachelor's degree; experience in compliance, audit, 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 (AML, Sanctions and
AB).Certified Anti-Money Laundering Specialist (CAMS)
certification, FIBA AMLCA--certification, Project Management
certification or commission from a financial regulatory bodya
Job Level - All Job FunctionsAll Job Level - All Job Functions -
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 .To view the "EEO is the Law"
poster. To view the EEO is the Law Supplement .
To view the EEO Policy Statement .
To view the Pay Transparency Posting .
Keywords: Citi, Mansfield , Compliance Assurance Sr Analyst, AVP - AML, Professions , Mansfield, Texas
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