Officer- Compliance Product Analyst 2 (ROHQ - Independent Compliance Risk Management (ICRM)
City of Taguig, Philippines,Philippines
3d ago

Serves as a function / business / product compliance risk analyst for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.

In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet function / business / product and customer needs in a manner consistent with the Citi program framework.

Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function / business / product and guidance on function / business / product rules / laws.

Key Activities include :

  • Performing monitoring reviews (second line of defense) to detect possible breaches to regulatory requirements or Citi Policies and to escalate accurately and timely to Country ICRM.
  • Assisting and supporting senior staff in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • Assisting with investigations, reconciliation procedures and preparing routine correspondence.
  • Assisting with regulatory inquiries and / or examinations.
  • Researching rules / rule changes and implements policies, procedures or other controls necessary to comply with the rules.
  • Creating and maintaining reports for control, tracking, and analysis purposes and ensuring appropriate and secure retention of documents.
  • Preparing, editing and maintaining Compliance program related materials.
  • Coordinating, track and time manage policy and training initiatives.
  • Interacting and working with other areas within ICRM, as necessary.
  • Additional duties as assigned
  • Education level and / or relevant experience(s) :

    Required :

    Bachelor’s degree; some experience in a financial services firm, regulatory organization, or legal / consulting firm, or a combination thereof

    Preferred :

    Advanced degree (e.g. JD, MBA) a plus. Experience and knowledge of investment banking, corporate banking, commercial banking, capital markets, investment research, treasury services and / or trade services products and relevant laws and regulations also a plus.

    Knowledge and skills :

    Required :

  • 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
  • Strong project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Preferred :

  • Some knowledge of compliance laws, rules, regulations, risks and typologies,
  • Some knowledge in area of focus
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