Performs Volcker related reviews regarding the ICG or GCG businesses in accordance with corporate methodologies and standards, including drafting of reports, presenting issues to Compliance and the business and discussing practical solutions.
Act as primary contact for all Supplier Compliance Program Vendor Management inquires related to specific infractions that have occurred or are currently occurring and provide recommendations to the supplier on what they can change to become compliant or escalate a request for an exemption for the specific metric that may be affected
The Compliance Testing Analyst II performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The individual will provide support to the Compliance Testing Lead in his/her oversight of the Bank's regulatory compliance testing program. The Testing Analyst is responsible for playing a critical role in the execution of the Bank's compliance testing program, reporting on testing results, and performing validation.
Formulates plans, processes and timetables to conduct an accurate, complete and thorough investigation in a confidential manner in accordance with regulatory requirements and within specified timeframes.
The Compliance Officer is responsible for managing a caseload of investigations, perform analysis and follow-up and work cases from beginning to completion according to Citi AML procedures and policies.
The Compliance Auditor is responsible for monitoring and maintaining the organization's contractual compliance with its customers. The Auditor also monitors conformance to internal policies and processes.
In this role, you will be responsible for reviewing transactions on a monthly basis involving electronic wires and check activity. Reviewing to see if negative news or other potential AML concerns with transactions activities exist.
In this role, you will provide day-to-day support in the maintenance of the Firms compliance program, including but not limited to: monitoring of employee personal trading and electronic communications; preparation, distribution, collection and analysis of employee disclosure forms; organization and maintenance all required books and records; and IARD maintenance.
Participate on projects, analyzes processes and controls, and evaluate data quality & use sound judgment to identify issues and outline in-depth action plans; including knowing when to escalate matters.
Develop expertise in Compliance department needs and outcomes; develop partnerships beyond the team to include stakeholders across Compliance and with other departments, including Legal, Risk, Human Resources, etc.