Compliance Assurance Sr. Analyst
Citi
Heredia, Costa Rica
hace 4 días

Key Activities include

  • At least 2 years of experience about :
  • Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the LATAM (ex Mexico) ICRM Compliance Assurance (CA) AML, Sanctions and AB Plan.
  • 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 LATAM (ex Mexico) regions in accordance with ICRM CA AML, Sanctions and AB Plan.
  • Executing compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined testing plan.
  • Documenting findings and report to the Compliance Assurance management team.
  • Assisting with development of Compliance Assurance Risk Assessments, Monitoring Monthly, and Quarterly Summaries and development and enhancement of the Compliance Assurance and Internal Audit 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 and technology process owners, and Internal Audit function.
  • Promoting knowledge sharing and promulgation of best practices across ICRM and the business.
  • Monitoring the risk environment and assesses the emerging risks through the Business Monitoring process.
  • Informing CA management of significant compliance matters that require their attention or action.
  • Additional duties as assigned.
  • Education level and / or relevant experience(s) required :

  • Bachelor’s degree; experience in compliance, audit, 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 (AML, Sanctions and AB).

    Preferred : Advanced degree (e.g. JD, MBA) a plus

    Required :

  • Knowledge of Compliance laws, rules, regulations, risks and typologies.
  • Demonstrated knowledge in area of focus (AML, Sanctions and AB).
  • 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.
  • Exhibit project management, interpersonal, sound decision-making, and intuitive thinking skills.
  • Understanding of rules, laws, 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.
  • Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions.
  • Recommends appropriate and pragmatic solutions to risk and control issues.
  • Applies knowledge of key regulations to influence audit scope.
  • Develops effective line management relationships to ensure strong understanding of the business.
  • Must be a self-starter, flexible, innovative and adaptive.
  • Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization.
  • English (85% - 90%) / Spanish (oral / written) communication skills are required.
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Other : Certified Anti-Money Laundering Specialist (CAMS) certification, FIBA AMLCA certification, Project Management certification a plus.

    Grade : All Job Level - All Job FunctionsAll Job Level - All Job Functions - CR

    Time Type : Full time

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    Minority / Female / Veteran / Individuals with Disabilities / Sexual Orientation / Gender Identity.

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