Serves as a senior analyst for the Chief Administrative Office (CAO)'s Regulatory Exam Management & Oversight team responsible for the promotion, support, monitoring and reporting on Citi's interactions with its regulators, including queries arising in the normal course of business outside of specific examinations, and managing supervisory examinations within the APAC region. Key Activities include:
Working with senior staff within the APAC region to support 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.
Participating in the coordination and execution of regulatory exams; including franchise relevant regulatory reviews and other supervisory activity impacting Citi businesses and control functions.
Liaising with the supervisory agency teams, including responding to ad hoc requests / inquiries and hosting meetings with senior managers held in connection with ongoing supervision efforts.
Monitoring the full lifecycle of identified regulatory issues ensuring that concerns are communicated, assigned responsibility, and tracked to resolution.
Maintaining the centralized repository where documents are stored and previous regulatory and supervisory findings, reports and similar documents.
Partnering with APAC regional stakeholders to identify, gather and produce responsive documents and information.
Identifying and escalating issues raised in the course of regulatory exams and supervisory activity.
Promoting awareness of trends identified during exam management activity and drive common messaging across our organization and geographies.
Participating in UAT testing and working groups to enhance the firm's current regulatory tracking processes, standards and systems.
Preparing internal reporting and ensure tracking of exams (and associated requests) on a timely basis.
Developing, enhancing, and promoting the use of globally consistent communication tools/templates/presentations
Additional duties as assigned.
Knowledge of APACCompliance laws, rules, regulations, risks and typologies
Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Effective 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)
Knowledgeable in area of focus
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; Advanced degree a plus
Job Family Group: Compliance and Control Job Family: Regulatory Liaison & Exam Management Time Type:
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