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Compliance Risk Management Lead

7 days ago

Toronto, Ontario, Canada Citibank (Switzerland) AG Full time

Serves as a senior compliance risk manager responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation. Translates the ICRM strategy and goals across Citi's clients, products, and geographies in a succinct and clear manner; providing direction and guidance on the programs.

Responsibilities:
  • Chief Compliance Officer (CCO) for Citigroup Global Markets Canada Inc., (Investment Industry Regulatory Organization of Canada) IIROC broker-dealer
  • Manage direct report primarily responsible for trade desk surveillance program, bank prudential monitoring and product compliance advisory
  • State of Compliance reports to senior management: legal entity Board meeting(s), Business Risk Compliance and Control Committees (BRCC) and other relevant governance forums as required

Directs the design, development, delivery, and maintenance of best-in-class Compliance programs, policies, and practices for ICRM. Oversees the identification and assessment of Citi's key compliance risks. Ensures compliance risks within Citi are effectively identified, measured, monitored, and controlled, consistent with the bank's risk appetite statement and all policies and processes established within the risk governance framework.