Citi Compliance Officer - ICG Testing in Fort Lauderdale, Florida

  • Primary Location: United States,Florida,Fort Lauderdale

  • 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: 16056654


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 at explains what we do and Citi Leadership Standards at 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.

Compliance Testing (CT) is responsible for the execution of reviews of the Institutional Clients Group (ICG) , Citi Personal Wealth Management (CPWM), and the Affluent High Net Worth and Specialized Segments (AHS) businesses for compliance with firm policies, and applicable rules and regulations. During these compliance reviews, CT identifies the key risks and control points related to the processes under review. CT then tests those key control points, reports the results to Compliance and the business and other senior managers, and monitors to confirm that any corrective action plans are implemented.

The Testing Control Officer must be able to work independently as well as part of a team to perform risk and control analysis, execute testing, document results in workpapers, prepare issues and reports summarizing the review scope and issues, and track corrective action plans to completion. The individual will be involved in compliance reviews covering the Citi Private Banking business within ICG. Private Banking products supported include Banking, Trust, Investments, Investment Finance, Art Advisory & Finance, Aircraft Finance, Philanthropy and Family Office. The OCC is the primary regulator for the Private Bank covering principals such as operating in a safe and sound manner, treating customers fairly and providing fair access to financial services. The Testing Control Officer may also assist in day-to-day review responsibilities in support of the CT Management team.

In addition to strong fundamental understanding of regulatory examination/audit/compliance testing processes, the candidate should also have strong analytical and communication skills, and a fundamental understanding of the applicable laws and regulations as well as knowledge of related ICG businesses.

Key responsibilities include:

  • Solid understanding of Compliance Testing standards and methodolgies

  • Contributes to the development of testing processes improvements

  • Applies solid understanding of how Compliance Testing integrates with line management and control functions to accomplish the objectives of the function and overall business

  • Performs reviews related to the Private Banking business in accordance with corporate methodologies and standards, including drafting of issues, presenting issues to Compliance Testing Management and discussing practical solutions

  • Completes assigned reviews within budgeted timeframes

  • Recommends appropriate and pragmatic solutions to risk and control issues

  • Applies knowledge of key regulations to influence review scope

  • Develops effective line management relationships to ensure strong understanding of the business

  • Proactively develops data mining solutions to help focus testing


Bachelors degree and 5+ years experience in the financial industry / examination field. Prior experience in examinations/auditing roles, and strong understanding of testing methodology, risk and controls analysis and business process mapping. Leading small to medium sized teams in audits/compliance reviews is a plus. Strong presentation, program and relationship management skills. Excellent written and oral communication skills.