DirecciónServes as a senior compliance risk manager for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes related to monitoring and fostering awareness of sanctions regulatory requirements that Citi must comply with; assessing related sanctions risk exposure, overseeing the quality of sanctions control processes and setting global standards to manage and mitigate those sanctions risks and protect the franchise. In addition, provides support for the collation of potential breaches of sanctions from across the firm and work with contacts in the Business and Compliance to ensure consistent and effective application and implementation of, and controls to evidence adherence to, relevant sanctions related global standards, policies and procedures.
Responsibilities:
- Analyzing comparative data, preparing and presenting regional and global reports related to sanctions risk assessments, and monitoring of sanctions related issues and escalations with senior management and global partners.
- Managing a team of junior compliance staff, reviewing staff assignments and contributing to decisions regarding hiring, compensation, performance appraisals, staff development, training, etc.
- Contributing to the design and maintenance of a comprehensive written ICRM Sanctions Framework (standards and policies).
- Partnering with functional partners and key stakeholders – regionally and globally, as applicable, to ensure potential risks are identified during due diligence, or escalated on an ad hoc basis, are appropriately vetted and addressed. Identifying and escalating to the Chief Sanctions Officer material risks and significant instances of not adherence to the Framework by accountable front line units; directs investigations in coordination with GIU, CSIS, Legal, HR, or as appropriate.
- Monitoring adherence to Citi’s Global Sanctions Policy and relevant procedures; staying current on key Sanctions regulatory changes, key enforcement actions and related industry trends.
- Overseeing adherence to procedures and processes, to ensure compliance with policies ensuring that front line units meet required standards.
- Interacting with relevant teams to raise awareness of Sanctions trends, emerging issues, remedial actions or enhancements to the program.
- Supporting efforts in connection Internal Audit and functional regulators in Program exams and evaluations; tracks and challenges remedial actions from the front line units.
- Drafting and editing sanctions-related reference materials; support the various electronic record-keeping logs for sanctions licenses, voluntary disclosures; subpoenas etc.; participate in sanctions training programs.
- 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 well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.
Qualifications:
- Preferably expertise of AML and Sanctions regulations, risks and typologies
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Excellent written and verbal communication skills
- 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
- Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Knowledge in area of focus
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; experience in area of focus; previous experience managing staff; Advanced degree a plus
Manager for Sanctions Alert Dispositioning HUB.
•Responsible for Quality oversight and monitoring that our guidelines are met
•Lead a team who is responsible for completing all types of quality and control reviews.
•Exercise full leadership and supervisory responsibility. Responsible for team performance including timeliness of work, quality of reviews and monthly/yearly scorecards
•Oversee Quality procedures and keep them current
•Monitor team workflow, confirm tasks are meeting timeliness or come up with plans to keep all work current
•Perform analysis on results and reporting based on reviews completed. Communicate results to the Operational teams including root cause analysis on defects
•Assist with requests and may interface with compliance and audit examiners
•Analyze and identify risks based upon information provided when reviewing or adding new reviews
•Act as a consultant to the business regarding process improvements for quality reviews
•Ensure appropriate controls are in place for all work performed
•Drive corrective actions and develop corrective action recommendations
•Work with multiple MIS and system teams to ensure data is available for result analysis
•Work with Ops Quality Control team members located in multiple sites
•Help drive consistency between the functions of Credit Operations through quality reviews, control reviews, audit feedback and results
•Has the ability to operate with a limited level of direct supervision.
•Can exercise independence of judgement and autonomy.
•Acts as SME to senior stakeholders and /or other team members.
•Ability to manage teams.
•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 well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.
Qualifications:
- Expertise of AML and Sanctions regulations, risks and typologies
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Excellent written and verbal communication skills
- 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
- Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Knowledge in area of focus
- At least 2 years of experience as a team lead.
- Proficient in Englush and Spanish (desirable)
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Job Family Group:
Compliance and Control------------------------------------------------------
Job Family:
Sanctions------------------------------------------------------
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.
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