Surveillance & Examination RCSA Branch & Operations Specialist

Citigroup LATAM



The Branch & Operations Specialist is responsible for auditing and testing general and banking legal/regulatory compliance within International Personel Banking (IPB). The Branch & Operations Specialist will be responsible for monitoring, assessing and controlling the regulatory/compliance risks to ensure that the IPB Securities Risk Control and Self Assesment (RCSA)/Key Risk Issue(KRI) processes are monitored, assessed and control regulatory risks as noted in the business’s compliance matrix.

MAJOR RESPONSIBILITIES:

?  Assess and audits tests of IPB Branches RCSA and KRI processes monitor, and regulatory/compliance risks as noted in IPB Compliance matrix.

?  Escalate any identified discrepancies and document them in Citistar

?  Ensure corrective action plans are clearly defined and monitor progress for timely completion.

?  Work with all IPB Securities unit heads to ensure all units define RCSA matrices and related tests processes for all relevant processes and functions.

?  Perform all testing cycles as defined by the RCSA

?  Perform reasonableness checks, as defined in the Latam RCSA guidelines, on a quarterly basis.

?  Track resolution and any related tasks pertaining to exceed KRIs for areas under the direct responsibility of Securities IPB’s regional office.

?  Ensure that RCSAs are updated by the process owners as soon as there is any change in process, new policy, etc

?  Assist the areas to have operating performance levels as measured by Audit Risk Recognition (ARR) at satisfactory and Effective control and RCSA ratings, respectively.

Performs all other duties as assigned.



?  5+ years of previous securities, compliance, ARR experience.


?  A thorough knowledge of the business organization and its strategy.


?  Strong consultative and relationship skills.


?  Strong written and oral communication skills.


?  Good Project Management Skill


?  Requires understanding the legal and regulatory environment as it affects the business


MS Office, Power-point, Citi-Star

Bilingual English and Spanish