Job Responsibilities

You are responsible to develop a strong control and compliance environment for Citi Global Wealth, Retail Banking to achieve permanent audit readiness balancing the business needs and environment.

Key Responsibilities

• Participate actively in the implementation of new or revised investments and treasury sales processes and surveillance in CGW Retail Banking in compliance with Citi's global, regional policies and guidelines and local or US regulatory requirements with due consideration on the business needs and risk and controls.

• Actively involve key stakeholders in process design discussions to achieve objective of full compliance with policy while balancing execution effectiveness and risk and control.

• Ensure compliance with FATCA (Foreign Account Tax Compliance ACT) and CRS (Common Reporting Standard), Qualified Intermediary requirements for investments and treasury products.

• Ensure the business performs annual US tax reporting and reconciliation for the required investment products.

• Ensure business complies with the Offshore Wealth Services Policy for sales of investments and treasury products. Administer any online attestations, perform bi-annual business evaluation, review of country conduct rules and execute relevant changes.

• Update of sales procedures.

• Review new product and service initiatives by product groups.

• Review of reports generated by computer assisted auditing tools and techniques to identify anomalies and execute any remediation.

• Conduct ad-hoc sales process training to new hires and semi-annually to sales personnel.

• Participate in system related projects to address process efficiency or risk and controls or new initiatives lead by the business.

• Partner the business in all audit review preparations, walk throughs and corrective action plan implementations.

• Provide support to Retail Banking and internal departments stakeholders on any operational and sales process matters.

• Work with the business and other control stakeholders on any issue escalations, solutioning and remediation.

Pre-requisites

• University degree in Business Administration or related majors.
• Minimum 7 years of banking experience with a good understanding of consumer banking and investments and treasury products.
• Familiar with Financial Advisory Act, Security and Futures Act.
• Strong written and spoken English
• Aptitude for risk and controls.
• Proficient in Microsoft Office is necessary.
• Highly motivated individual with initiative, analytical and ability to work and lead changes independently.
• Must be a team player and committed to delivering strong customer service to internal clients.
• Comfortable in conducting training sessions independently

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Job Family Group:
Compliance and Control
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Job Family:
Business Control
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Time Type:
Full time
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