Canada Chief Country Compliance Officer Director

1 day ago

Old Toronto, Canada Citi Full time

The Compliance Risk Country Officer (CRCO) is responsible for overseeing the Compliance Program for all Citi activity within Canada: regulated branches, legal entities and other affiliates, as well as shared service centers, such as Citi Service Centers (CSCs). This includes ensuring global policies, standards and processes are applied, and suitable addenda and supplementary procedures established and maintained for compliance with applicable jurisdictional laws and regulations. Contradictions between local law and regulations, and group standards must be promptly identified and escalated, and mitigating processes and controls established to comply with jurisdictional requirements and mitigate the risks of non-compliance with applicable group-wide or entity-chain related laws and regulations, and global policies and procedures.

The CRCO is responsible for overseeing the Citi Compliance Risk Management Program for Canada across multiple Citi businesses, regulated branches, legal entities and other affiliates, and shared service centers.

Responsibilities also include implementing applicable global compliance processes, setting Independent Compliance Risk Management (ICRM) priorities and driving transformation. The CRCO will work closely with senior product, function, and regional management, and other Independent Compliance Risk Management (ICRM) teams on strategic initiatives and emerging issues.

The CRCO provides franchise support to the Citi Country Officer and Banking Head (CCOBH) and country management, including offering credible challenge, escalation of issues and reporting, as appropriate. In addition, the CRCO also provides strategic direction and facilitates the implementation of the Compliance Risk Management (CRM) Framework, supported by the Comprehensive Strategic Plan (CSP) in the country. The CRCO reports to the Head of International ICRM, or a designee, in accordance with jurisdictional requirements.

In situations where this role is the designated Legal Entity Compliance Officer, the listed country/business/function/product level responsibilities will extend towards the legal entities under their purview as required to effectively perform their role.

Responsibilities:

  • Key Activities Governance and Organization: Preparing, obtaining approval and successfully completing an annual compliance risk management plan, in accordance with the global template and content and presentation requirements.
  • Identification of jurisdictional requirements, accountabilities and process ownership, and monitoring and testing ownership.
  • State of Compliance Reporting: Preparing quarterly reports in accordance with the approved global format.
  • Enhancing Governance: Providing a program of support and compliance risk management services covering the assessment and reporting of Key Compliance Risks.
  • Timely reporting of significant local regulatory issues to stakeholders.
  • Maintaining ongoing assessment and reporting of the State of Compliance through relevant corporate governance committees.
  • Stakeholder Support and Relationships: Developing senior management relationships, including with legal entity management focus.
  • Regulatory Management and Coordination: Supporting the CCOBH in the management and development of regulatory relationships.
  • Delivering to regulators a program of support and assurance in accordance with requirements.
  • Regulatory Inventory: Ensuring prompt identification and evaluation of new and amended laws and regulations.
  • Anti-Money Laundering Compliance Risk Management (ACRM): Providing strategic direction in respect of the country’s ACRM program.
  • Independent Compliance Risk Management: Providing direction and oversight in supporting the ICRM teams in the country.
  • ICRM Training: Ensuring that country elements of the ICRM global training plan are current.
  • Risk Mitigation and Issue Remediation: Working with management to ensure timely and effective remediation.
  • ICRM Operational Activity: Leading the ICRM team to provide compliance risk management direction.
  • Management of Team: Championing a high-performance environment and implementing a people strategy.
  • Compliance Technology and Automation: Supporting ICRM efforts to enhance technology and automation.
  • Compliance Transformation: Being the transformation leader in the country.

Qualifications:

  • Credibility as a subject matter expert and experience dealing with high-impact issues.
  • Experience working with key country level regulators and industry associations.
  • Knowledge of local regulatory requirements and the ability to identify emerging compliance issues.
  • Ability to influence senior business leaders on compliance risk-related matters.
  • Strong team leadership, communication, interpersonal and management skills.
  • Effective negotiation skills and a proactive approach in communicating issues.
  • The ability to thrive in a complex, highly matrixed, global environment.
  • Fluency in English and local language proficiency.

Education:

  • Bachelor’s Degree highly preferred or relevant equivalent experience.
  • Preference for post-graduate degree and/or recognized professional qualifications.
  • Professional qualifications may include: CRMC or equivalent, CPA, ACA, CIA, CFA, ACAMS.
  • Advanced degree and/or professional certification preferred.

Job Family Group: Compliance and Control

Job Family: Compliance Risk Management

Time Type: Full time

Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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