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1 day old
2018-01-182018-02-17

Senior Compliance Officer - NAM CPB ICRM Business Advisory Head

Citigroup
Tampa, FL
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  • Job Code
    1249013

Senior Compliance Officer - NAM CPB ICRM Business Advisory Head-18000145

Description

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  explain 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.
 
Provide business advisory compliance support to the Citi Private Bank sales staff.  Key responsibilities include: 
  • Manage and administer the CPB Compliance Policy and Procedures inventory and draft new policies as may be necessary;
  • Manage CPB US Privacy Policy for CPB ICRM;
  • Advise and guide the business regarding relevant Citi policies, procedures, standards and control requirements;
  • Drive the implementation of new regulatory requirements, Citi policies, procedures and control standards; tracking updates and implementation of regulatory changes;
  • Assist the business with identifying compliance risk and integrating legal/regulatory compliance requirements into written policies/procedures and new product/process proposals.
  • Assist the Business in assessing new or changed laws and regulations to determine their impact on processes, procedures and information systems.  This includes participation in the rules implementation committees and regulatory and policy program meetings as well as ensuring relevant tracking matrices and systems are current;
  • Conduct compliance monitoring of first line business activities;
  • Assist with the maintenance and oversight of the Offshore Wealth Services requirements and the tracking of key rules, regulations and controls. 
  • Oversee and manage regulatory corrective action plans.  This includes, as appropriate, identifying owners, working with the owners to develop a corrective action plan and ensuring target completion dates are set and adhered to;
  • Assist with the content, development, delivery and tracking of mandatory training requirements;
  • Identify/investigate unusual trends or activity that can be indicative of compliance concerns and communicate/escalate as necessary, including recommending practical solutions;
  • Reporting and escalating significant issues to senior management.
  • Liaise with ICRM Assurance Compliance Testing on reviews of the CPB Business and identify any emerging risks and possible areas for testing;
  • Manage the CPB ICRM MCA process and support the business in the execution of MCA self-assessment testing;
  • Liaise with in-business risk and business/product management in maintaining a solid compliance risk control and self-assessment framework;
  • Interface with senior management and audit;
  • Partnering with other control functions such as fiduciary oversight, business risk and control, legal, risk management and audit to ensure coverage is comprehensive and consistent and that issues are appropriately addressed on a timely basis;


Qualifications
  • 7 years of experience in a regulatory, compliance, legal and/or control function
  • Bachelor’s degree or higher in a related field of study; - Accounting/Finance, Law, MBA/Professional JD Certification preferred
  • Specialized professional certification in Compliance; Trust, Law, Audit
  • Knowledge of investments, banking, trust and wealth management, local regulatory and compliance requirements;
  • Able to work effectively with senior management; proactively with control (Risk, Compliance, and Legal) and business partners to address issues in an efficient and timely manner
  • Strong risk assessment, analytical, decision-making, interpersonal, presentation, and written/verbal communication skills;
  • Ability to manage conflict, work under time pressure, and work proactively without close supervision
  • Self-starter, goal oriented team player

Primary Location NAM-USA-FL-Tampa
Job Category Compliance and Control
Schedule Full-time
Education Level Bachelor's Degree
Shift Day Job
Employee Status Regular
Travel Yes, 10 % of the Time

Categories

  • Financial Services
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Senior Compliance Officer - NAM CPB ICRM Business Advisory Head

Citigroup
Tampa, FL

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Citigroup
Tampa, FL

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