Compliance Testing Officer

1 month ago

Belfast, United Kingdom Citi Full time

**Overview of Citi**:
Citi is a world-leading global bank. We have approximately 200 million customer accounts and a presence in more than 160 countries and jurisdictions worldwide. We provide 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. We enable clients to achieve their strategic financial objectives by providing them with cutting-edge ideas, best-in-class products and solutions, and unparalleled access to capital and liquidity.

Citi Belfast is one of the largest employers in Northern Ireland with a diverse and talented team of over 3000 people from over 40 different nationalities across our four Belfast offices.

We are the only global investment bank operating in Northern Ireland. Every day, our local experts interact with global teams in over 100 countries developing and supporting next-generation technology solutions for the enterprise and delivering critical services to the bank and its customers, to make sure we are a stronger and safer organization for our clients.

You will have a truly global reach, which will provide you with new experiences and development opportunities right here in Belfast’s iconic Titanic Quarter.

**The Role**:
Serves as a Compliance Testing Officer for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent testing 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.

**Key Activities include**:

- Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Testing (CT) Plan.
- Participating in the planning, executing, and reporting of compliance testing 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.
- Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
- Assisting with development of Compliance Testing Risk Assessments, Monitoring Monthly, and Quarterly Summaries and the development and enhancement of the Compliance Testing 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 function and with other stakeholders including Business process owners and Internal Audit function.
- Identifying industry best practices and share insight with the CT teams on a regular basis.
- Informing CT management of significant compliance matters that require their attention or action.
- Identifying compliance training resources and tools available centrally to support country/business compliance programs training and research needs.

**Qualifications**:

- Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
- Knowledge and extensive 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 access segregation of duties, transactional testing, surveillance systems, and reporting activities
- 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
- Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views
- Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
- Willingness to travel
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Must be a self-starter, flexible, innovative and adaptive
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Ability to both work collaboratively and independently; ability to navigate a complex organization
- Advanced analytical skills
- Ability to bot

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