Senior Compliance Officer - Ethics Testing and Controls

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Post Date

  July 5, 2017

Closing Date


LPEC Preferred




Irving, TX



About Citi

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 Proposition  explains 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.

Based in Irving, Texas, the Senior Vice President reports to the Head of Program management for the Ethics Office and ultimately to Citi's Chief Ethics Officer within Citi's Global Ethics Office.  The Senior Vice President is responsible for Testing and Controls and will be responsible for the development/implementation/enhancement of the Ethics Office's internal controls. 

Responsibilities include:

  • Developing, implementing, and enhancing end-to-end operational testing and controls for Ethics Office processes, including its case management and the internal case management system;
  • Ensuring testing responsibilities are performed timely and within quality expectations, including appropriate supporting documentation and reports;
  • Recognizing, documenting, and assessing key risks;
  • Assuming primary responsibility for the Managers' Control Assessment process, including associated documentation, quarterly testing, and annual reviews;
  • Managing third-party vendor relationships, including working with Compliance to ascertain that third-party vendors maintain adequate controls for compliance with Citi standards;
  • Overseeing the organization and maintenance of Ethics Office records and data in compliance with Citi policies and procedures.


The ideal candidate will have at least 7 years of compliance experience in a financial institution, preferably in operations, testing, or audit.  Bachelor's degree required.


  • Robust understanding of compliance risk management concepts, tools, and trends;
  • Risk-based thinking and experience in applying various elements of an effective compliance program;
  • Ability to work in a fast-paced environment;
  • Ability to multi-task and execute tasks in line with priorities and dependencies in order to meet deadlines;
  • Proficient in Microsoft Office Suite applications, particularly Excel;
  • Strong analytical skills;
  • Ability to work collaboratively;
  • Strong oral and written communications skills;
  • Commitment to quality and attention to detail.



Apply Online

Content provided by the Ethics & Compliance Association (ECA), the membership community of ECI.