Senior Internal Audit Analyst
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Compliance Independent Assessment Analyst – Assistant Vice President
Citi
full-time
Posted on:
Origin: • 🇮🇳 India
Visit company websiteJob Level
Lead
About the role
- Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within the Compliance Independent Assessment (CIA) Plan at a global level
- Participating in the planning, executing, and reporting of compliance assessments and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity in accordance with Compliance Independent Assessment Plan
- Analyzing and documenting report findings, and having preliminary discussions with corresponding control/process owners
- Assisting with development of Compliance Testing/Monitoring Risk Assessments, Monitoring Summaries and the development and enhancement of the Compliance Testing/Monitoring 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 CIA function and with other stakeholders including Business process owners and Internal Audit function
- Identifying industry best practices and share insight with the CIA teams on a regular basis
- Informing CIA 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
- Appropriately assess risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding Citigroup, its clients and assets
- Escalating, managing and reporting control issues with transparency
- Additional duties as assigned
Requirements
- 5-8 years of experience
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Strong business and project management, data analytics, and presentation skills
- 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 testing, and reporting activities
- Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
- Extensive global compliance and audit related experience, and strong knowledge of business processes
- Project management, interpersonal, sound decision making, and intuitive thinking skills
- Effectiveness in working within a large scale and complex matrix organization
- Excellent oral communication and writing skills interacting with non-executives and executive management and across multiple business lines and control functions
- Recommends appropriate and pragmatic solutions to risk and control issues
- Develops effective line management relationships to ensure strong understanding of the business
- Must be a self-starter, flexible, innovative, and adaptive
- Works collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Bachelor’s degree required; Advanced degree or relevant certification a plus
- Experience in compliance, internal or external auditing, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
