C13 Costa Rica Risk Control Lead Analyst
Citi
Heredia, Costa Rica
hace 4 días

The Compliance AML KYC Lead Analyst is a senior-level position responsible for leading Anti-Money Laundering (AML) monitoring, governance, oversight and regulatory reporting activities in coordination with the Compliance and Control team.

The overall objective of this role is to lead in the development and management of a dedicated internal KYC (Know Your Client) program at Citi.

Key Responsibilities :

This role is for a Risk and Control function having regional oversight of the Americas ICG KYC Operations, who will perform the following :

Controls Governance

  • Lead discussions with Internal Audit, Compliance and other support functions in partnership with KYC
  • Governance drive Risk and Control initiatives and governance as and when required
  • Policy / Guidelines - Policy / Guidelines development, standardization, awareness, implementation assistance, and enforcement of related policies
  • Advisory Subject matter knowledge (for key requirements such as Sanctions Screening, KYC Documentation, local regulatory requirements etc.
  • and trusted advisor on risk and control issues to management and staff

  • Approvals Review process changes / implementation which may impact controls and provide approvals e.g. control change and new process acquisition
  • Control Dashboard / KRI develop regional KRIs and ensure function heads have a Control Dashboard to provide management with a clear view on ongoing risks / issues
  • MCA and CAPs :

  • Controls Reporting oversight oversight of MCA process including ensuring robust MCA’s exist across all processes and co-
  • ordination of testing and results, recommending suitable solutions / of Corrective Action Plans(CAPs) for any gaps identified;
  • Identify open gaps and work with the operations functions to implement effective CAPs with an aim of reducing / mitigating risk and maximising IBAM credit.
  • Targeted process reviews Conduct Process review of emerging risks and new functions / high-risk areas and ensure results are shared and actions taken to resolve potential gaps.
  • CAP Validation Drive resolution of issues and ensure all CAPs are appropriately completed, including timely validation of milestones and overall CAP, escalating where delays are envisaged.
  • Audits Internal Audit / Compliance Testing / Regulators

  • Plan for an audit, including identifying gaps in critical processes and ensuring CAP are raised prior to the audit.
  • Ensure appropriate documentation is sent to the auditors in a timely manner, in line with their deliverables requests
  • Provide regular audit updates and keep senior management informed of the status.
  • Work with the auditors and Operations management on potential issues, to ensure only valid issues are raised and impact is appropriately understood and mitigants explained.
  • Agree correct actions and milestones, confirm wording and obtain approvals to open CAPs
  • Track CAPs, ensure all milestones are completed on time and perform validation to verify appropriate action was taken.
  • Risk & Control :

  • Supervise Risk and Control analysts in their day to day work across the various ISG Operations groups.
  • Projects Assist / drive regional or global risk and control related projects.
  • Innovation develop methods to make the Risk and Control team more efficient and ensure local processes are considered in regional initiatives.
  • Presentations presentation of open issues, CAPs, KRIs, R&C projects for regional and global partners / leaders.
  • Relationship Management Develop strong partnerships within the Technology and ISG operations groups, as well as other organizations supporting ISG activities (IA, Compliance, etc.)
  • Qualifications :

  • 6-10 years of experience
  • Education :

  • Bachelor's degree / University degree or equivalent experience
  • Master's degree preferred
  • Grade : All Job Level - All Job FunctionsAll Job Level - All Job Functions - CR

    Time Type :

    Citi is an equal opportunity and affirmative action employer.

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

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