SVP – Compliance Senior Officer

Serves as a compliance conduct risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rules, or regulatory expectations.   The team is accountable for the design and delivery of a risk management framework that maintains risk levels within the firm’s risk appetite and protects the franchise, guides business lines & functions to manage their Conduct Risks and meet regulatory expectations.  In addition, engages with ICRM product and function coverage teams, in order to partner to develop and apply ICRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework.

Key activities include:

• Serving as a subject matter expert on Citi’s Conduct Risk program.
• Serving on a team of ICRM professionals, supporting the provision of an independent Second Line of Defense approach to risk-based governance and oversight by focusing on current & emerging, high impact Conduct risks.
• Participating in the design, development, delivery and maintenance of best-in-class Conduct Risk programs, policies and practices for Citi ICRM.
• Development and administration of Conduct Risk training and communications across the Enterprise.
• Leading initiatives and managing high-impact project work streams with a results-driven focus to deliver solutions, including advising on the implementation of new regulatory requirements.
• Managing strategy and responses to regulatory examinations, reviews and inquiries and advising on internal and external testing, monitoring, audits & investigations.
• Analysing complex comparative data, preparing and presenting global reports related to conduct risk and monitoring of conduct risk related issues.
• Reviewing materials to ensure compliance with various regulatory expectations to ensure compliance & operational risks are appropriately identified and addressed.
• Partnering with other ICRM & Risk teams that support the businesses & functions to assess, prevent and detect Conduct Risk non-compliance issues and promote a culture of compliance a focus on effective conduct risk management.
• Advising on enterprise-wide Conduct Risk issues and provide credible challenge.
• Staying abreast of relevant changes to Conduct Risk regulatory expectations rules/regulations and other industry developments. including regulatory findings.
• Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulatory expectations, rules, and interpretations or guidance relating to the supported activities.
• Appropriately assessing risk when business decisions are made, demonstrating particular consideration for clients and the markets by driving compliance with applicable laws, rules and regulatory expectations to ensure conduct risks are appropriately identified and addressed & adhere to Policy,
• Applying sound ethical judgment regarding personal behaviour, conduct and business practices, and escalating, managing, and reporting control issues with transparency.
• Participating in industry groups and trade association working groups or other forums.
• Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management on how to proceed.
• Analysing complex comparative data, preparing and presenting global reports related to conduct risk assessments, and monitoring of conduct risk related issues.
• 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:

• Experience in In-business Risk, Compliance, Conduct Risk, Misconduct or other control-related functions within financial services, a regulatory organization, or consulting firm. 
• Strong working knowledge of financial markets and the related operations, risks and regulatory expectations.
• Knowledge of Conduct Risk, Risk Management, International regulatory expectations, and industry standards including regulations, risks and typologies.
• Must be a self-starter, flexible, innovative and adaptive with the ability to operate independently with a limited level of direct supervision.
• Ability to provide credible challenge to stakeholders at all levels.
• Strong written and verbal communication and interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
• Can exercise independence of judgement and autonomy.
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging to stakeholders at all levels of the organisation.
• Ability to work collaboratively with regional and global partners in other functional units.
• Ability to navigate a complex organization; influence and lead people outside of direct management, across cultures and at a senior level.
• Excellent project management and organizational skills and capability to handle multiple projects at one time.
• Experience with data analysis techniques including advanced concepts along with proficiency in the use of Excel, and PowerPoint
• Experience in managing regulatory exams and relationships with examiners, and , auditors, etc.

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; strong working knowledge of function/business/product and the related operations and financial requirements; previous experience managing a diverse staff; Advanced degree a plus

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Job Family Group:

Compliance and Control

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Job Family:

Product Compliance Risk Management

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Time Type:

Full time

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Primary Location:

Tampa Florida United States

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Primary Location Full Time Salary Range:

$141,440.00 - $212,160.00

In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

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Anticipated Posting Close Date:

Jan 15, 2025

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Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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