Compliance Testing Officer

1 month ago

Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time
Job Summary

Citi is seeking a highly skilled Compliance Testing Officer to join our Global Legal Affairs and Compliance (GLAC) team. As a key member of our team, you will be responsible for assessing compliance risks and controls implemented by the first and second line of defense, performing risk assessments of Citi's compliance risks, and reporting and escalating control issues and any violations of laws or breaches of policy.

Key Responsibilities
  • Develop, implement, and execute compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Testing (CT) Plan.
  • Participate 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.
  • Analyze and document report findings, and have preliminary discussions with corresponding control/process owners.
  • Assist 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.
  • Utilize innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
  • Develop effective relationships within CT function and with other stakeholders including Business process owners and Internal Audit function.
  • Identify industry best practices and share insight with the CT teams on a regular basis.
  • Inform CT management of significant compliance matters that require their attention or action.
  • Identify compliance training resources and tools available centrally to support country/business compliance programs training and research needs.
Requirements
  • 6-10 years of experience in compliance, legal, or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof.
  • Solid understanding of Global Markets business activities and products, preferably Rates and Markets Treasury.
  • 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.
  • 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 both work independently and collaborate with team members.
  • Excellent project management and organizational skills and capability to handle multiple projects at one time.
  • Proficient in MS Office applications (Excel, Word, PowerPoint).
  • Demonstrated knowledge in area of focus.
  • Bachelor's/University degree, Master's degree preferred.

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