Citi ICG – Markets Compliance Testing SME in Costa Rica

  • Primary Location: Costa Rica

  • 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: 16063753


Specific responsibilities include:

·Participate in the Compliance Testing Annual Planning Process, as the Business specialist for ICG “Markets” topics

·Develop and enhance Standard and Targeted Review Programs related to ICG “Markets” products to ensure that Compliance Testing Reviews focus on key risk and provide specialized input on local regulatory requirements, ICG “Markets” policies. Present those programs in global forums to be utilized globally

·Work independently to lead ICG “Markets” reviews and be expert providing guidance in reviews led by other team members covering ICG “Markets” businesses / products, to ensure complying with the Compliance Testing Annual Review Test Plan

·Independently review work results and negotiate corrective actions with Senior Management to be included in high quality reports to be presented in Local and Global Governance forums

·Maintain an active role in the identification of emerging risk or assessing trends, using all the global and local information available for ICG “Markets” products. Maintain close contact with the ICG “Markets” Senior Management to communicate results of the identified risk; promoting preventive and corrective actions to address them.



·Minimum 5 years of overall industry experience with a background in Markets

·Experience in Compliance, Risk or Audit, preferably gained in an international financial institution

·Background and understanding of relevant markets / FINRA regulations and applicability to various capital markets products

·Understanding of audit / CT methodology, risk and control analysis is a plus

·Strong oral and written communication / negotiation skills, with the proven ability to influence opinion, articulate/substantiate review findings and defend these if challenged by local senior business management

·Strong ability to manage and facilitate work projects both on the ground and with remote units

·Accuracy and attention to detail in the presentation and publication of compliance testing reports to a senior audience

·Soft skills, flexibility and multitasking to comply with tight schedules and strict due dates.

·FINRA series 7 is a plus