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Compliance Assurance Officer (VP) - Financial Markets

Locations: Warsaw, Mazovia Job Function: Compliance and Control Employee Status: Regular Job ID: 20205474

Location: Warsaw, Citi Solutions Center at 12 Marynarska Street

We are thrilled to announce that we are expanding our Compliance Hub at Citi Solution Center in Warsaw! As a result, we are looking for skilled senior professionals with a solid Audit background to join Compliance Assurance area within ICRM function. Independent Compliance Risk Management (ICRM) is responsible for establishing internal strategies, policies and procedures to prevent violations of law or regulation, and design a risk management framework that maintains risk levels within Citi and protects the franchise.

We currently have multiple openings for Compliance Assurance Officers with good understanding of Risk, Control and Internal Audit. We strongly encourage you to apply even if you don't see a 100% match with the role below, as we may have similar openings for those who can meet only some of the requirements.

These are roles with regional responsibilities and offer an amazing opportunity to work with the business partners in EMEA and beyond, and have an impact on how the organisation operates globally.

Job Purpose:

The successful Candidate will serve as a Compliance Risk Officer for Independent Compliance Risk Management (ICRM)’s Assurance team, responsible for assessing compliance risks and controls implemented by the first and second line of defense. The position also entails performing risk assessments of Citi's compliance risks; performing independent assurance 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 responsibilities:

  • Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Assurance (CA) Plan, with coverage across Citi’s Institutional Client Group (ICG).   
  • Participating in the planning, executing, and reporting of compliance assurance 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 CA Plan.
  • Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
  • Monitoring the risk environment and assessing the emerging risks through the Business Monitoring process
  • Assisting with development of Compliance Assurance Risk Assessments, Monitoring Monthly, and Quarterly Summaries and the development and enhancement of the Compliance Assurance 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 CA function and with other stakeholders including Business process owners and Internal Audit function.
  • Identifying industry best practices and share insight with the CA teams on a regular basis.
  • Informing CA 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.
  • Additional duties as assigned.

    Key skills and 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 related to the markets trading businesses, such as FX, Rates, Credit, Commodities and Equities
    • Strong interpersonal skills for building relationships with stakeholders and engaging teams
    • Effectiveness in working within a large scale and complex matrix organization
    • Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views
    • Excellent oral communication and writing skills
    • Willingness to travel (not applicable for now)
    • Knowledge of Compliance laws, rules, regulations, risks and typologies related to the trading businesses
    • 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 complex organization
    • Advanced analytical skills
    • Ability to both work independently and collaborate with team members
    • Excellent project management, multitasking and organizational skills
    • Proficient in MS Office applications (Excel, Word, PowerPoint)
    • Demonstrated knowledge in area of focus
    • A detailed understanding of the products offered by banking, markets or security services businesses would be a distinct advantage

    Education:

    • 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
    • Advanced degree would be an additional advantage

    What will you get in return:

    • Opportunity to work in an international, independent role with regional exposure;
    • An enjoyable and challenging learning path, which leads to a deep understanding of Citi’s products and services as well as development of your personal skills.
    • Opportunity to drive significant change within the organization;
    • Competitive social benefits (medical care, multisport, life insurance, pension plan, holiday allowance, home office and other).
    • At Citi Solutions Center we cooperate with other Citi entities from all over the world.  Working in our organization involves working on international projects, in a culturally diverse and dynamic environment as well as learning top quality organizational culture.  

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    Citi is an equal opportunity and affirmative action employer.
    Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.

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