Citi Group Compliance Business Control Officer - VP Hybrid 

United States, Florida, Tampa 

13966691

Group Overview:

The Client Reporting Oversight (CRO) team within the Data & Regulatory Operations organization owns governance and oversight of client reporting functions including trade confirmations, product prospectuses, and client statements, ensuring they are generated and delivered in an accurate, timely and controlled manner while meeting regulatory and service requirements. Additional responsibilities include conducting the 17a-13 quarterly security counts.

Key Responsibilities:

• Responsible for supporting Governance and Oversight and control programs for Client Reporting Oversight including defining the strategy, approach, processes, quality, tools and reporting that provide risk management consistency and excellence.
• Works closely with business partners on findings and makes recommendations on improving practices.
• Responsibilities also include supporting Control Design Projects and Issues through inception, execution and closure and examining the Operations environment for existing controls, potential enhancements (through automation, or other efficiencies), or the need to develop new, more effective controls.
• Develops procedural implementation and change management process with Operation teams to ensure proper governance and controls exist.
• Examines procedures for consistency and gaps relative to regulations in addition to impacts on customer experience.
• Has the ability to operate with a limited level of direct supervision.
• Leads Strategic Program Implementations
• Acts as SME to Client Reporting Oversight Manager, stakeholders and /or other team members.
• Apply knowledge of the business, products, or services to identify and implement control points and processes throughout the business.
• Contribute to governance, management, coordination, and the facilitation of the execution of the Manager Control Assessment(MCA, i.e., Risk& Control Self-Assessment) as required by the MCA Standard including the assessment and appropriate approval of risk associated with business changes.
• Monitor and coordinate the identification, documentation and remediation of issues and corrective action plans (CAPs).
• Assist Client Reporting management in exercising control over Operational and Compliance Risk in accordance with established Policy requirements and contribute to the Policy and Procedure reviews and enhancements.
• Appropriately assess risk when business decisions are made, demonstrating 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.
• Manage existing EUC’s, lead the automation, and leverage tools and capabilities (including EUC Inventory management and workflow system capabilities) to ensure appropriate inventory management governance exists around the EUC .
• Assist in performing a detailed analysis on the identification of issue root cause, partnering with control and process owners to recommendations holistic corrective actions and improvements, provide check and challenge to ensure appropriate escalation in according with Issue Management and Escalation Policies.
• Creation of metrics, including gathering, reporting, trend analysis.
• Manages a multi-facetedproject/account/campaignor multiple projects at the same time.
• Appropriately assess risk when business decisions are made, demonstrating 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.

Qualifications:

• 6-10 years relevant work experience in Business Risk & Controls
• 5+ years’ experience in financial services.
• MS Excel, MS PowerPoint, SQL,
• Consistently demonstrates clear and concise written and verbal communication skills.
• Effective organizational influencing skills required.
• Excellent problem-solving skills Ability to see the big pictures with high attention to critical details.
• Demonstrated ability to develop and implement strategy and process improvement initiatives.
• Knowledge of regulatory rules 10b-10, 606b-3, 17a-13, a plus but not necessary
• Knowledge of client documentation, client confirmations, client statements, prospectuses, a plus but not necessary.

• Bachelor’s/Universitydegree or equivalent experience

Anticipated Posting Close Date:

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