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Senior Compliance Analyst – BCBS Assurance

  • Primary Location: United States,Florida,Tampa
  • Education: Bachelor’s Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: Yes, 10 % of the Time
  • Job ID: 18033222


About Citi

Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.

Citi’s Mission and Value Proposition  explain what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients’ and the public’s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.

Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.

Citi’s Compliance Assurance (CA) group is a function within Independent Compliance Risk Management (ICRM), which performs assessments of Citi’s regulatory and compliance risks; performs independent testing of compliance with rules, laws, and regulations; and assists with the firm’s responses to regulatory examinations and inquiries. 

The AVP will be responsible for the execution and delivery of the compliance testing, continuous assurance, reporting programs for Citi’s BCBS 239 and Basel Capital Independent Validation activities

This role requires some experience in one of the following areas: Credit Risk, Market Risk, Operational Risk, BCBS 239, Basel Capital or Risk Reporting. 

This role also requires knowledge and 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 access segregation of duties, transactional testing, surveillance systems, and reporting activities.

The Compliance Assurance –BCBS239 and Basel, AVP will be based in Tampa will report to an SVP in the Basel/BCBS239 Compliance Assurance function.

Key Responsibilities

  • Participate in planning, execution, and reporting of compliance assurance reviews and compliance and regulatory issue validation related to Basel capital regulations, and regulations related to risk data aggregation and reporting processes.

  • Execute compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined reviews under the BCBS239 and Basel independent validation program.

  • Manage and monitor budgets for CA projects related toBCBS239 and Basel independent validation program.

  • Document findings and report to the CA management team.

  • Demonstrate independent judgment, professional scepticism, political astuteness, and sensitivity to cultural diversity.

  • Assist with development of CA Risk Assessments, Monitoring Monthly, and Quarterly Summaries.

  • Assist with development and enhancement of the CA Methodologies and Standards for auditing, testing, monitoring, and reporting.

  • Utilize innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.

  • Use available technical resources and tools to research and expand personal knowledge of firm’s products and services to enhance work product.

  • Develop effective relationships within CA function and with other stakeholders including Business process owners and Internal Audit function.

  • Demonstrate abilities as a team player, which includes creating a positive environment, building solid relationships with team members by understanding personal and team roles, proactively seeking guidance, clarification and feedback; and keeping supervisors abreast of work status in a timely manner.

  • Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills.

  • Promote knowledge sharing and promulgation of best practices across ICRM and the business.

  • Inform CA management of significant compliance matters that require their attention or action.


The ideal candidate must have:

  • 3 + years related experience in ICRM, Risk Management, Audit or similar function, with experience in auditing, compliance testing, and monitoring activities.

  • Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities.

  • BA/BS or equivalent. Advanced degree and/or professional certification preferred.

  • Demonstrate knowledge of Basel III / Basel IV regulatory requirements for capital, leverage, liquidity, interest rate risk in the banking book, large exposures, disclosures, global systemically important institutions (G-SIB), and domestic systemically important institutions (D-SIB) requirements

  • Demonstrate flexibility in prioritizing and completing tasks; and communicating potential conflicts to the supervisor.

  • 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.

  • Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views.

  • Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions.

  • Willingness to travel internationally.

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