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Compliance Sanctions Sr Analyst - UAT Tester

Company: Citi
Location: Tampa
Posted on: June 19, 2019

Job Description:

  • 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: No
  • Job ID: Description
    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 explains 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.



    Key Responsibilities:


    Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes related to monitoring and fostering awareness of sanctions regulatory requirements that Citi must comply with; assessing related sanctions risk exposure, overseeing the quality of sanctions control processes and setting global standards to manage and mitigate those sanctions risks and protect the franchise. In addition, provides support for the collation of potential breaches of sanctions from across the firm and work with contacts in the Business and Compliance to ensure consistent and effective application and implementation of, and controls to evidence adherence to, relevant sanctions related global standards, policies and procedures.
    • Review Functional Requirements (FRD) from Technology Teams and ensure Business Requirements (BRD) have been understood and documented correctly, understanding any cross functional impact with other applications;
    • Analyze business, functional and system design documentation of new products, changes and system enhancements to define test scope.
    • Design and develop comprehensive test plans, test cases and test scripts, incorporating a suite of pre-existent test cases;
    • Defect tracking and reporting;
    • Create UAT Management Summary Reports, highlighting any release timeline risk and documenting risk mitigation plans;
    • Maintain and own formal UAT documentation, from creation through to project closure;
    • Conduct Post Production Implementation Reviews to understand any defect leakage from UAT; implement lessons learned Key Activities include:
      • Analyzing comparative data, preparing and presenting regional and global reports related to sanctions risk assessments, and monitoring of sanctions related issues and escalations with senior management and global partners.
      • Supporting a specialized team of Independent Compliance Risk (ICRM) officers responsible for program execution activities.
      • Contributing to the design and maintenance of a comprehensive written ICRM Sanctions Framework (standards and policies).
      • Partnering with functional partners and key stakeholders regionally and globally, as applicable, to ensure potential risks are identified during due diligence, or escalated on an ad hoc basis, are appropriately vetted and addressed. Identifying and escalating to the Chief Sanctions Officer material risks and significant instances of not adherence to the Framework by accountable front line units; directs investigations in coordination with GIU, CSIS, Legal, HR, or as appropriate.
      • Monitoring adherence to Citi s Global Sanctions Policy and relevant procedures; staying current on key Sanctions regulatory changes, key enforcement actions and related industry trends.
      • Overseeing adherence to procedures and processes, to ensure compliance with policies ensuring that front line units meet required standards.
      • Interacting with relevant teams to raise awareness of Sanctions trends, emerging issues, remedial actions or enhancements to the program.
      • Supporting efforts in connection Internal Audit and functional regulators in Program exams and evaluations; tracks and challenges remedial actions from the front line units.
      • Drafting and editing sanctions-related reference materials; support the various electronic record-keeping logs for sanctions licenses, voluntary disclosures; subpoenas etc.; participate in sanctions training programs.
      • Additional duties as assigne d. Qualifications
        • 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
        • Robust knowledge of the Software Development Life Cycle (SDLC) process
        • Ability to take ownership and lead UAT with a proactive, not reactive approach
        • Proficient in HPQC / Application Lifecycle Management tool (ALM)
        • Preferably expertise of AML and Sanctions regulations, risks and typologies
        • Knowledge of Compliance laws, rules, regulations, risks and typologies
        • Excellent written and verbal communication skills
        • Must be a self-starter, flexible, innovative and adaptive
        • Strong 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)
        • Knowledge in area of focus
        • Advanced degree (e.g. JD, MBA) a plusAssociated topics: business, company, compliance, compliance department, compliance office, corporate attorney, court, legal affairs, legal department, market

Keywords: Citi, Sarasota , Compliance Sanctions Sr Analyst - UAT Tester, IT / Software / Systems , Tampa, Florida

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