Florida Staffing
Governance Risk and Control - Regulations and Compliance - Assistant Vice Presid
Florida Staffing, Tampa, Florida, us, 33646
Governance In-Business Risk & Control AVP
Individuals in Cross Disciplinary Controls are responsible for multiple activities within the Controls capabilities such as assessment & design, MCA, QA, Monitoring & Testing, Issue Management and/or Governance Reporting & Analysis for effective end to end oversight, design, implementation, and execution of controls. Individuals in this role may cover a broad range of in-business/function risk and control responsibilities rather than focusing on one specific role. Responsibilities: Help assess the effectiveness of existing controls, identifying areas for improvement, and implementing necessary changes. Help drive controls enhancements focused on increasing efficiency and reducing risk. Help assist in the execution of Enterprise Risk Management Framework and adherence with Risk Management and Compliance Policies. Contribute to the oversight of the MCA program, including the annual/semi-annual/quarterly/monthly attestation, quality oversight, and related reporting. Help assist in the execution of the MCA in accordance with the ORM Policy & Framework, as well as applicable Policies, Standards, and Procedures. Perform assessment activities and processes as per required Policies, Standards, and Procedures to strengthen risk management quality. Help management of issues with key stakeholders. Participate in issue quality reviews ensuring compliance with Issue Management Policy, Standards, and Procedures. Develop standardized risk and controls reporting to ensure sound, reliable, and consistent information exists across the organization, enabling better management and decision-making in line with the expectations of senior management, Board, and Regulators. Be involved in operations of Citi's governance committees, including coordinating meetings, managing agendas, and ensuring follow-up on action items. Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of teams and create accountability with those who fail to maintain these standards. Qualifications: Minimum of 5-8 years of experience in operational risk management, compliance, audit, or other control-related functions in the financial services industry. Ability to identify, measure, and manage key risks and controls. Strong knowledge in the development and execution for controls. Proven experience in control related functions in the financial industry. Proven experience in implementing sustainable solutions and improving processes. Understanding of compliance laws, rules, regulations, and best practices. Understanding of Citi's Policies, Standards, and Procedures. Strong analytical skills to evaluate complex risk and control activities and processes. Strong verbal and written communication skills, with a demonstrated ability to engage at the senior management level. Strong problem-solving and decision-making skills. Ability to manage multiple tasks and priorities. Proficiency in Microsoft Office suite, particularly Excel, PowerPoint, and Word. Education: Bachelor's/University degree or equivalent experience. Role Description Overview: The Governance In-Business Risk & Control AVP will be responsible for assisting with strong end-to-end Enterprise Services & Public Affairs (ESPA) Risk & Control and Governance Framework in the Regulatory Management and Compliance space. This role is a developing professional role with an emphasis on proactively mitigating and, where required, remediating the compliance risks of the business with potentially broader business impact. The objective of this role is to lead in the execution of the regulations mapping workflow, assist in the regulations change workflow, and support regulatory management controls and oversight across ESPA, to mitigate regulatory compliance risk. The role helps to ensure the organization is responsive, agile, and well-prepared for the unique and demanding regulatory space. This role will proactively engage and work with partners globally across ESPA to disposition regulatory mappings - and changes where applicable, provide compliance assurance, and ensure readiness for reviews and examinations by Internal Audit, Compliance Risk, Operational Risk, and Independent Risk, among other corporate-wide control functions. The individual will also contribute to the development and implementation of common standards, procedures, educational resources, and governance processes to create and maintain a consistent and best in class compliance risk governance framework. The individual will report to ESPA Governance Compliance Risk and Regulations Lead. Key Responsibilities: Disposition regulatory changes and mappings on a timely basis; proactively engaging with ESPA, ICRM, Legal, and other partners as needed to: evaluate the applicability of a law, rule, or regulation to the assigned GAU to determine potential impact and/or work required to comply timely disposition assigned regulatory mappings (and changes where applicable) in Citi Risk and Controls in accordance with KPI and metric thresholds maintain oversight and follow up as needed to ensure offline work is completed by assigned deadlines and compliance risk is mitigated as quickly as possible. Perform reviews of documentation to ensure processes are recorded accurately, are up to date, and are in line with Citi documentation guidelines and any applicable ESPA requirements. Liaise with Compliance, Risk, and Internal Audit on supporting various initiatives. Maintain awareness of key regulatory developments, issues, and internal business decisions to proactively address any gaps. Report and provide insight for metrics and governance KPIs to drive compliance. Support MCA execution and escalation of compliance issues. Provide data analysis and reporting support for the ESPA Business Risk and Control Committee. Qualifications: Bachelor's degree required; legal/law related or J.D. preferred. 3-5+ years relevant experience in governance, risk and controls focusing on regulation management, regulatory law, compliance, audit or regulatory functions and finance operations. Understanding of regulation governance and management needed for a robust regulation program in support of business objectives. Ability to read laws, rules, and regulations, and explain their requirements in everyday language to non-legal personnel. Proven ability to execute multiple projects on tight deadlines with attention to detail. Proactive problem solver who is resourceful, readily consults with others, and considers alternatives. Ability to confidently work across business lines, collaborate and interact with colleagues at all levels with a commitment to partnership. Consistently demonstrates clear and concise written and verbal communication skills. Works independently as a member of a high-performing team, with the ability to take initiative in proposing and implementing solutions. Expertise in MS Office (Excel, Word, PowerPoint, Outlook). Preferred Experience: Speaks Spanish Held the role of AU/GAU RCL in Citi Risk and Control's Regulations Management Workflow Held the role of AU/GAU Coordinator or delegate in MCA Knowledge of the Compliance Risk Management Tool reporting dashboard
Individuals in Cross Disciplinary Controls are responsible for multiple activities within the Controls capabilities such as assessment & design, MCA, QA, Monitoring & Testing, Issue Management and/or Governance Reporting & Analysis for effective end to end oversight, design, implementation, and execution of controls. Individuals in this role may cover a broad range of in-business/function risk and control responsibilities rather than focusing on one specific role. Responsibilities: Help assess the effectiveness of existing controls, identifying areas for improvement, and implementing necessary changes. Help drive controls enhancements focused on increasing efficiency and reducing risk. Help assist in the execution of Enterprise Risk Management Framework and adherence with Risk Management and Compliance Policies. Contribute to the oversight of the MCA program, including the annual/semi-annual/quarterly/monthly attestation, quality oversight, and related reporting. Help assist in the execution of the MCA in accordance with the ORM Policy & Framework, as well as applicable Policies, Standards, and Procedures. Perform assessment activities and processes as per required Policies, Standards, and Procedures to strengthen risk management quality. Help management of issues with key stakeholders. Participate in issue quality reviews ensuring compliance with Issue Management Policy, Standards, and Procedures. Develop standardized risk and controls reporting to ensure sound, reliable, and consistent information exists across the organization, enabling better management and decision-making in line with the expectations of senior management, Board, and Regulators. Be involved in operations of Citi's governance committees, including coordinating meetings, managing agendas, and ensuring follow-up on action items. Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of teams and create accountability with those who fail to maintain these standards. Qualifications: Minimum of 5-8 years of experience in operational risk management, compliance, audit, or other control-related functions in the financial services industry. Ability to identify, measure, and manage key risks and controls. Strong knowledge in the development and execution for controls. Proven experience in control related functions in the financial industry. Proven experience in implementing sustainable solutions and improving processes. Understanding of compliance laws, rules, regulations, and best practices. Understanding of Citi's Policies, Standards, and Procedures. Strong analytical skills to evaluate complex risk and control activities and processes. Strong verbal and written communication skills, with a demonstrated ability to engage at the senior management level. Strong problem-solving and decision-making skills. Ability to manage multiple tasks and priorities. Proficiency in Microsoft Office suite, particularly Excel, PowerPoint, and Word. Education: Bachelor's/University degree or equivalent experience. Role Description Overview: The Governance In-Business Risk & Control AVP will be responsible for assisting with strong end-to-end Enterprise Services & Public Affairs (ESPA) Risk & Control and Governance Framework in the Regulatory Management and Compliance space. This role is a developing professional role with an emphasis on proactively mitigating and, where required, remediating the compliance risks of the business with potentially broader business impact. The objective of this role is to lead in the execution of the regulations mapping workflow, assist in the regulations change workflow, and support regulatory management controls and oversight across ESPA, to mitigate regulatory compliance risk. The role helps to ensure the organization is responsive, agile, and well-prepared for the unique and demanding regulatory space. This role will proactively engage and work with partners globally across ESPA to disposition regulatory mappings - and changes where applicable, provide compliance assurance, and ensure readiness for reviews and examinations by Internal Audit, Compliance Risk, Operational Risk, and Independent Risk, among other corporate-wide control functions. The individual will also contribute to the development and implementation of common standards, procedures, educational resources, and governance processes to create and maintain a consistent and best in class compliance risk governance framework. The individual will report to ESPA Governance Compliance Risk and Regulations Lead. Key Responsibilities: Disposition regulatory changes and mappings on a timely basis; proactively engaging with ESPA, ICRM, Legal, and other partners as needed to: evaluate the applicability of a law, rule, or regulation to the assigned GAU to determine potential impact and/or work required to comply timely disposition assigned regulatory mappings (and changes where applicable) in Citi Risk and Controls in accordance with KPI and metric thresholds maintain oversight and follow up as needed to ensure offline work is completed by assigned deadlines and compliance risk is mitigated as quickly as possible. Perform reviews of documentation to ensure processes are recorded accurately, are up to date, and are in line with Citi documentation guidelines and any applicable ESPA requirements. Liaise with Compliance, Risk, and Internal Audit on supporting various initiatives. Maintain awareness of key regulatory developments, issues, and internal business decisions to proactively address any gaps. Report and provide insight for metrics and governance KPIs to drive compliance. Support MCA execution and escalation of compliance issues. Provide data analysis and reporting support for the ESPA Business Risk and Control Committee. Qualifications: Bachelor's degree required; legal/law related or J.D. preferred. 3-5+ years relevant experience in governance, risk and controls focusing on regulation management, regulatory law, compliance, audit or regulatory functions and finance operations. Understanding of regulation governance and management needed for a robust regulation program in support of business objectives. Ability to read laws, rules, and regulations, and explain their requirements in everyday language to non-legal personnel. Proven ability to execute multiple projects on tight deadlines with attention to detail. Proactive problem solver who is resourceful, readily consults with others, and considers alternatives. Ability to confidently work across business lines, collaborate and interact with colleagues at all levels with a commitment to partnership. Consistently demonstrates clear and concise written and verbal communication skills. Works independently as a member of a high-performing team, with the ability to take initiative in proposing and implementing solutions. Expertise in MS Office (Excel, Word, PowerPoint, Outlook). Preferred Experience: Speaks Spanish Held the role of AU/GAU RCL in Citi Risk and Control's Regulations Management Workflow Held the role of AU/GAU Coordinator or delegate in MCA Knowledge of the Compliance Risk Management Tool reporting dashboard