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Compl Reg&Exam Mgmt Int Anlst, Alvaro Obregon

CategoryCompliance and Control
CityAlvaro Obregon
Serves as a risk analyst for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, support, monitoring and reporting on Citi's interactions with its regulators, including queries arising in the normal course of business outside of specific examinations, and managing supervisory examinations, globally.

  • Supporting Exam Management and Regulatory Liaison senior staff in establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and designing and delivering a risk management framework.
  • Assisting with the coordination and execution of regulatory exams; including franchise relevant regulatory reviews and other supervisory activity impacting Citi businesses and control functions.
  • Working with the supervisory agency teams, including drafting responses to ad hoc requests/inquiries.
  • Working with regional Exam Management and Regulatory Liaison Offices, local advisory Compliance teams, Business, Risk, Legal, Operations, and Technology to gather and produce responsive documents and information.
  • Supporting senior management in the proactive identification and escalation of issues raised in the course of regulatory exams and supervisory activity.
  • Assisting with promoting awareness of trends identified during exam management.
  • Participating in UAT testing and working groups on behalf of the Exam Management and Regulatory Liaison Offices to enhance the firm's current regulatory tracking processes, standards and systems.
  • Assisting in the preparation of internal reporting and ensure tracking of exams (and associated requests) on a timely basis.
  • Developing, enhancing, and promoting the use of globally consistent communication tools/templates/presentations.
  • Additional duties as assigned.
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.


  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • Excellent written and verbal communication skills
  • Must be a self-starter, flexible, innovative and adaptive
  • Effective interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Proven project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Some knowledge in area of focus


  • Bachelor's degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; Advanced degree a plus

Job Family Group:
Compliance and Control

Job Family:
Regulatory Liaison & Exam Management

Time Type:

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EmployerCompl Reg&Exam Mgmt Int Anlst

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