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Compliance Officer --- NAM Consumer Ethics Liaison

Company: Citi
Location: Irving
Posted on: May 17, 2018

Job Description:

  • Primary Location: United States,Texas,Irving
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 18032951
    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 Propositionexplain what we do and Citi Leadership Standards 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.Independent Compliance Risk Management (ICRM) is a global organization of over 2,300 professionals covering Citi---s global businesses and services for clients in over 180 countries.-- The Citi Global Ethics Office, part of ICRM, is responsible for establishing and communicating Citi---s ethical values and principles through Citi---s Code of Conduct and Code of Conduct training, managing Citi---s Ethics Hotline, working with business and control functions to identify control enhancements, and reporting on significant matters to Citi---s internal and external stakeholders.-- The Ethics Office works with partners all over the world, including with other Citi control functions, to handle internal investigations of employee-related issues and to identify and escalate matters, as appropriate.Based in Irving, Texas the Compliance Officer --- Ethics Liaison is a VP who will report to a Director/Ethics Officer for the North American (NAM) Consumer businesses in the Ethics Office and ultimately to Citi's Chief Ethics Officer.-- The NAM Consumer Ethics Officer is primarily responsible for the end-to-end management of ethics investigations and the ethics process within Citi---s NAM Consumer businesses (such as Retail Banking, Credit Cards, Citi Personal Wealth Management, and Real Estate Lending). --This position will be responsible for assisting the Director/Ethics Officer in implementing the Ethics Office Program, including the appropriate handling of Ethics matters assigned by the Ethics Office for investigation.-- Key Responsibilities include:--
    • Coordinate the investigation and effective management of matters reported to the Ethics Office to ensure that investigations are thorough, fair, and timely.
    • Report on progress of investigations to the Regional Ethics Officer and other stakeholders.
    • Identify, escalate and monitor significant issues discovered through the investigation process to the Regional Ethics Officer.
    • Review investigative report for thoroughness and clarity and confirm that all concerns, allegations and/or complaints have been addressed in the investigation.
    • Refer matters to Human Resources, Employment Legal, or Labor Relations for disciplinary action, as appropriate.----
    • Provide any necessary information for determining disciplinary and corrective actions to the applicable Disciplinary Committee or any other functions involved in determination of disciplinary/corrective actions.
    • Obtain information regarding relevant policies identified during investigations.
    • Assist with site visits of Citi---s Chief Ethics Officer or NAM Consumer Ethics Officer, including actively participating in the planning and execution of the Ethics Office Awareness Program.
    • Effectively use and update investigations information in Ethics Office case management tool.
    • Assist with other Ethics Office initiatives as needed.
      The ideal candidate will possess a Bachelor---s degree and will have a minimum of 5 years of experience with investigations, preferably in a role within Legal, Compliance, or Audit at a financial institution or global, corporate environment.-- Familiarity with the financial services industry and products is preferred.-- The successful candidate will have outstanding analytical skills, sound judgment, discretion, and an understanding of business processes.-- Familiarity with the United States Sentencing Guidelines, Sarbanes-Oxley Act, and related best practices is preferred.-- Competencies:
      • Able to handle multiple projects and manage high volume case load in a fast paced environment.
      • Work ethically and with integrity.
      • Ensure that all matters are handled with fairness to involved stakeholders.
      • Capable of establishing and maintaining credibility and trust throughout the organization.
      • Analyze new matters, recognize risks and apply sound judgment, including identifying and escalating significant matters quickly and appropriately.
      • Able to analyze quantitative and qualitative data and create reports.
      • Excellent communication and presentation skills (written and oral).
      • Able to work independently and collaborate with team members.
      • Highly organized and detail-oriented.
      • Discrete and able to protect confidential information.
      • Develop charts and analysis to highlight trends, correlations and key issues.
      • Technologically proficient with PowerPoint and Excel.

        Keywords: Citi, Irving, Compliance Officer --- NAM Consumer Ethics Liaison, Other, Irving, Texas

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