- Audit Plan: Design and implement an audit plan for the function that consider emerging and established risk; industry best practices and external frameworks; legal entity and country-level regulatory requirements; and an end-to end view of Compliance risks and controls that cross business functions, geographies and platforms.
- Stakeholder Engagement: Proactively engage with senior leadership and teams across Compliance to provide credible challenge and positively influence Citi culture, ethical conduct, governance, risk management and control frameworks. Develop and maintain strong working relationships with teams both within Legal, Compliance & Risk Audit, as well as across IA Product and Functions teams globally. Leverage the feedback achieved from this to continually improve the definition and risk assessment of the audit universe as well as identify new and optimized ways of auditing the environment to maximize the insight achieved.
- Regulatory Relationship Management: As part of the broader Legal, Compliance & Risk IA Leadership Team, contribute to managing IA's regulatory relationships resulting in constructive two-way dialogue, trust in the IA function and general reliance being placed on IA's work related to Legal, Compliance & Risk. Engage actively with the Regulatory Issue Validation team on the validation of regulatory issues, ensuring timelines are met and regulatory intent is addressed.
- IA Team: Attract, motivate and develop a highly effective, diverse, talented and trusted team. Work with other IA Chief Auditors to maximize the efficiency and effectiveness of IA resources, taking into consideration the experience and location of the team, as well as leveraging different audit approaches and best practice. Identify and develop talent, providing long-term career opportunities both within IA and across other parts of Citi.
- Demonstrable experience in a related role
- Related certifications (CPA, ACA, CFA, CIA, CISA or similar) preferred
- Extensive understanding of products across Banking, Markets and Services Businesses, and the design and operation of risk and controls framework associated with these, that preferably includes internal audit experience.
- Demonstrable product knowledge of Compliance including a broad experience of the management of regulatory requirements and associated regulatory interaction.
- In-depth experience of the US and global regulatory environment, preferably including interaction with the OCC and FRB.
- Executive presence and expert in building and maintaining strong open relationships with executive stakeholders, working as a partner, exerting influence and providing credible challenge in a constructive manner.
- Advanced understanding of culture, ethical conduct, governance, risk management and control frameworks in leading international organizations.
- Ability to quickly comprehend the full risk implications of complex global issues, escalate to the appropriate level and provide advice and on pragmatic commercial solutions.
- Outstanding performer, open minded, resilient, agile, energetic, self-starter, articulate and empathetic whilst being confident to deliver opinions to bring about positive outcomes.
- Strong leadership skills including a track record of identifying and developing world class talent. Experienced in leading large, dispersed and diverse professional teams.
- Bachelor's degree/University degree or equivalent experience
- Master's degree preferred
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Chief Auditor Banking, International, NAM, Markets - London, United Kingdom - Citi
Description
The Chief Auditor is a senior level management position responsible for managing Citi Internal Audit's (IA's) risk based audit approach, in coordination with the Audit team. The overall objective of this role is to ensure Citi IA is the leading IA function in the financial services industry, and to manage IA's relationships with key stakeholders.
Citi Internal Audit is a dynamic global function of over 2,500 professionals located across more than 60 countries, covering Citi's global businesses and service to clients and customers through its network in 98 countries. Through a culture of continuous improvement, Citi IA is focused on maintaining its position as a best-in-class IA function and is committed to investing in people, learning and development, innovation, and methodology programs. The Internal Audit mission is to provide independent, objective, reliable, valued and timely assurance to the Board, senior management and regulators of Citigroup and Citibank (and its subsidiaries), over the effectiveness of culture, ethical conduct, governance, risk management, and controls that mitigate current and evolving risks and to enhance the control environment. Citi operates in over 100 countries and provides consumers, corporations, governments, and institutions with a broad range of financial services and products. Citi strives to create the best outcomes for clients and customers with financial ingenuity that leads to solutions that are simple, creative, and responsive.
The Chief Auditor for Banking, International, NAM, Markets and Services Compliance will lead and develop a global team of 40 and will report to the Chief Auditor for Legal, Compliance and Risk. This role will be responsible for building and managing relationships with senior Compliance management, including a number of Chief Compliance Officers, 1st line leaders together with other Chief Auditors across IA. In addition the role will work closely with product and functional Internal Audit (IA) management to ensure the creation and delivery of an end-to-end audit plan that provides high quality assurance over the key risks for Compliance processes globally.
Critical thinking and executive presentation skills will be important requirements of the role as themes related to risks and issues across the organization will be identified and presented to key stakeholders, such as senior management, the Audit Committee, regulators and external audit functions. The incumbent requires a wider ranging, yet detailed knowledge of technology processes, as well as a strong understanding of the fundamental risks associated with a large investment bank. The role will entail considerable co-ordination and development of resources to meet the plan and will therefore also require strong people management and communication skills.
As a member of the Senior Leadership team for IA Legal, Compliance and Risk, the incumbent is also collectively accountable for providing broader leadership and oversight to the overall team, with a total headcount of circa 400. In addition, as a Chief Auditor, the employee is responsible for contributing to the overall management and development of Citi's audit approach, to position Citi IA as the leading IA function in the financial services industry.
Responsibilities:
Experience & Qualifications:
Education:
Candidates applying for this role must be aware that it is a Certified Role, subject to the FCA and PRA Certification Regime.
The Certification Regime is one element of the Individual Accountability Regime which came into effect on 7 March 2016.
Under the Certification Regime, Citi UK regulated entities (Citi entities) must ensure that employees working in certain roles categorised as specified significant harm functions (Certified Roles) are assessed as fit and proper to carry out their role.
Under the guidance provided by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety:
Honesty, integrity and reputation
Financial soundness
Competence and capability
In order to comply with the requirements of the Certification Regime, Citi entities must take reasonable care to ensure that an employee does not perform a Certified Role without first being certified as Fit and Proper. For this reason, you will be assessed for this role against the Fit and Proper requirements, as described above.
This assessment will be carried out through extensive interviews, self-disclosures, permitted criminal record checks, regulated reference checks, credit checks and other background screening checks.
Job Family Group:
Internal Audit
Job Family:
Audit
Time Type:
Full time
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