Compliance Monitoring Senior Analyst, Citi

Citi

Location:
China, Shanghai

Category:
Finance

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

This role serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)’s Monitoring team, responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of Citi's compliance risks; performing independent monitoring activities (testing and on-going monitoring) to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.

Job Responsibility:

assist with the development, implementation, and execution of compliance monitoring and reporting programs within assigned clusters in accordance with the Compliance Independent (CIA) Plan
perform quality reviews of KYC processes such as Client Risk Evaluation (REM), Periodic Transaction Review (PTR), Global Screening Operations (GSO), Enterprise-Wide reviews (EWR), Cross Sector, and KYC dispensations to assess compliance with Global AML KYC Policies, Standards and Procedures
keep track and ensure that all findings are handled properly as per procedures and the reported risks are mitigated
participate in the planning, executing, and reporting of compliance monitoring reviews and compliance and issue validation activities for a component of a product line, function, or legal entity within an assigned cluster in accordance with Compliance Independent (CIA) Plan
independently contribute to the development of compliance monitoring improvements
make recommendations to ensure that appropriate controls are in effect to respond to regulatory, procedural or policy standards
perform data analysis to understand issues and create reports to communicate them to management
maintaining subject matter expertise by staying up to date with changes to the Global Policies, Standards, Procedures as well as industry trends and developments

Requirements:

5-8 years of experience
knowledge of Compliance laws, rules, regulations, risks and typologies
experience with development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional testing, and reporting activities
experience in planning, executing, and reporting on compliance reviews and issue validation activities
global compliance related experience, and strong knowledge of business processes
exhibit project management, interpersonal, sound decision making, and intuitive thinking skills
understanding of rules, laws, and regulations, and specific regulatory requirements
strong skills for building strong relationships with stakeholders and engaging teams
effectiveness in working within a large scale and complex matrix organization is essential
excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
must be a self-starter, flexible, innovative and adaptive
proficient in MS Office applications (Excel, Word, PowerPoint)

Nice to have:

experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm
supervisory experience
advanced degree preferred (e.g., JD, MBA)

Additional Information:

Job Posted:
May 16, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Compliance Monitoring Senior Analyst