Compliance Testing Officer

3 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China 11062 Citibank, N.A. Hong Kong Full time

Shape Your Career with Citi

Citi's Global Legal Affairs and Compliance (GLAC) empowers and protects Citi by providing legal, compliance, investigative, and security services to our firm. We manage compliance risk, provide legal analysis and advice, protect Citi's people and businesses, advocate for legal and regulatory outcomes that benefit our firm and our clients, and ultimately promote behavior that is consistent with Citi's mission and culture.

We're currently looking for a high-caliber professional to join our team as a Compliance Testing Officer - Hybrid (Internal Job Title: Compliance Testing Officer - C13) based in Hong Kong. As a member of our team, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure to senior leaders, as well as more traditional learning.

Position Summary:

Serves as a compliance risk 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.

In this role, you're expected to:

  • 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.
  • 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.

As a successful candidate, you'd ideally have the following skills and exposure:

  • 6-10 years of experience preferably in Internal Audit or Compliance Testing covering Markets businesses
  • 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 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
  • 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; Advanced degree a plus

Job Family Group: Compliance and Control

Job Family: Testing

Time Type: Full time

Citi is an equal opportunity and affirmative action employer.

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.

Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review .

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