Compliance Risk Management Senior Analyst x2 (AVP)

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Compliance Risk Management Senior Analyst x2 (AVP)-18077904

Primary Responsibilities:


Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM) responsible for establishing 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 business and customer needs in a manner consistent with the Citi program framework.


Key Activities include:

  • Participating in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
    o Execute Citi’s requirements under the Regulatory Inventory and Change Management process for the EMEA franchise across all countries, products, functions and legal entities
    o Support with country, product and function-aligned colleagues across all lines of defence to work towards the implementation of effective processes, procedures and controls in order to adhere to key regulatory requirements.
    o Regulatory Inventory and Change Management
     - Support identification of  new and changing regulatory requirements, applicable across the Citi franchise, both from traditional EMEA financial services regulatory authorities, and a number of other legislative bodies;
     - Support or conduct initial materiality assessments on identified regulatory requirements;
     - Support communication with stakeholders across multiple lines of defence to ensure an holistic approach to regulatory implementation;
     - Track the implementation of regulatory controls and processes, and support escalation of cases where implementation is challenged, off-track, or likely to lead to non-compliance;
  • Analyzing comparative data and preparing regional and global reports related to compliance risk assessments, and monitoring of compliance related issues.
  • Reviewing materials to ensure compliance with various regulatory and legal requirements. Identifying and addressing potential risks.
    o Assist in coordinating Regulatory Governance group meetings, including documentation of meeting outputs;
    o Assist in preparing reports for stakeholders on themes and trends emerging with respect to regulatory readiness:
     - Assist with preparation of quarterly reports, in accordance with the approved global format, and in adherence to all established requirements for the State of Compliance reporting.
  • Investigating and assisting in responses to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management on how to proceed, and preparing responses for the regulatory inquiries.
    o Assist in executing processes to ensure continued improvement in self-identification of issues and appropriate escalation and monitoring processes to ensure timely and effective remediation to mitigate Compliance Risk related to regulatory changes
  • Monitoring adherence to Citi’s Compliance Risk Policies and relevant procedures.
  • Preparing, editing and maintaining Compliance program related materials.
    o Support training needs based on Regulatory Change Management activities. 
    o Support development of role-based training for the Regulatory Inventory and Change Management process
  • Interacting and working with other areas within Citi, as necessary.
  • Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
  • Additional duties as assigned.



Education Level and/or Relevant Experience:


Required: Bachelor’s degree; Extensive years of 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 (years of experience not applicable in the UK)


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


Knowledge and Skills:


  • Knowledge of Compliance laws, rules, regulations, risks and typologies
    o Understanding of the EMEA regulatory bodies
    o Knowledge of regulatory landscape across the countries within EMEA
  • 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

Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience.


Valuing Diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success.


Citi is an Equal Opportunities Employer.


15 February 2019
Location: Ireland Dublin
Work type:
Full time
Banking and Financial Services
PLEASE! No enquiries from Recruitment Agencies or Headhunters.

Only direct applications will be considered.

This career opportunity is no longer open.
Please search for current vacancies here.

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