Compliance Risk Management Officer - Vice President
Citigroup
- Served as a key member of the CAO Transformation team, responsible for establishing a comprehensive framework for mapping laws, rules, and regulations to enterprise-wide policies, training programs, and risk control assessments.
- Conducted in-depth analysis to identify and remediate coverage gaps between US laws and regulations and internal policies and training materials, ensuring comprehensive compliance monitoring.
- Led the monthly validation process between the ICRM Training Course Library and Tier 1 Laws, Rules, and Regulations mappings, ensuring the accuracy and completeness of training materials.
- Developed and maintained a comprehensive mapping file of Tier 1 and selected Tier 2-5 regulations to training courses, encompassing both ICRM and non-ICRM training requirements.
- Designed and implemented a robust validation process for training information, generating discrepancy reports and creating audit artifacts to support milestone audits.
- Verified the accuracy of regulations reported in the Regulatory Inventory system, identifying and communicating any up-tiering or down-tiering impacts to reporting requirements.
- Proactively communicated discrepancies and updates to training mappings to key stakeholders, ensuring alignment between training materials and regulatory requirements.
- Managed the communication and distribution of regulation updates to ICRM Course Owners, ensuring the development of relevant and up-to-date training content.
- Disseminated updates to the mapping file to ICRM Reg Leads, Reg Leads, and Course Owners, fostering transparency and collaboration across teams.
- Prepared and presented the monthly Non-LTI course checklist to the ETF training forum for review and approval, ensuring alignment with training standards and requirements.
- Participated in working group meetings to define business requirements for automating the training to policy linkage process, driving efficiency and accuracy.
- Contributed to the analysis and development of automated linkages between regulations, policies, and training materials, streamlining compliance processes.
- Provided valuable insights and analysis for Milestone Closure summaries, collaborating with BFCC to ensure comprehensive review and sign-off.
- Played a key role in the analysis and reporting of RIM missing controls remediation efforts, addressing compliance gaps related to 32 Tier 1 US LRRs across all business lines.
