Compliance Testing Sr. Analyst - Branch Examinations- Avp - Hybrid

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Compliance Testing Sr. Analyst - Branch Examinations- AVP - hybrid
The candidate will be developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Testing (CT) Plan for Branch Examinations. Perform Independent Inspections of Citi investment related branches in line with FINRA related Supervisory requirements and other related key risks. Participating in the planning, executing, and reporting of Branch Examinations reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CT Plan for Branch Examinations. Monitoring the risk environment and assessing the emerging risks through the Business Monitoring process. Implementing and executing examinations in accordance with the Branch Examinations Regulatory Required Plan and the Branch Examination Procedures Manual. Executing compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined testing plan. Examinations are to assess the operating 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. Documenting findings and report to the Compliance Assurance management team. Identifying industry best practices and sharing insight with the Branch Examinations team on a regular basis. Analyzing and documenting report findings, and reviewing the findings with Business Management and corresponding control/process owners. Assisting with development of Compliance Testing Risk Assessments, Monitoring Monthly, and Quarterly Summaries and development and enhancement of the Compliance Testing 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 compliance-related activities. Developing effective relationships within CT functions for Branch Examinations and with other stakeholders including business, Compliance and Legal 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 assesses the emerging risks through the Business Monitoring process. Informing CT management of significant compliance matters that require their attention or action. Advanced degree (e.g. JD, MBA) a plus. Knowledge of Compliance laws, rules, regulations, risks and typologies. 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 activities. Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities for investments related branch examinations. Extensive global compliance and audit related experience, and strong knowledge of business processes. Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills. Understanding of rules, laws, and regulations, and specific regulatory requirements. 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 interacting with non-executives and executive management and across a number of business lines and control functions. Recommends appropriate and pragmatic solutions to risk and control issues. Applies knowledge of key regulations to influence audit scope. 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, PowerPoint). Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views. Excellent project management and organizational skills and capability to handle multiple projects at one time. Knowledge in area of focus. Experience in the Internal Audit, Compliance, compliance and/or controls, risk management function at a large financial institution, or as financial regulatory examiner. Other Requirements (licenses, certifications, specialized training, physical or mental abilities required): The following licenses are helpful: FINRA Series 7, 63, 65.

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