Citi Group Regulatory Operations - Exception Management Officer 

Malaysia, Penang, George Town 

427008005

• Timely investigation and remediation of trade rejections and internal exceptions
• Root cause analysis of rejections and exceptions and advising on remedial solutions
• Consistent interaction with REGOPS to facilitate partnering across Markets to remediate regulatory issues identified
• Maintaining a culture and environment where processes, risks and controls are continually monitored, and potential risks escalated on a timely basis
• Ensuring the infrastructure and tools are in place to effectively manage regulatory reporting issues and service our clients to a high standard
• Developing and fostering key relationships with internal stakeholders, across operations and technology – Enabling open and effective communication to facilitate the delivery of high standards of service.

Role / Position Overview:

• Strong management principals to ensure the appropriate root cause analysis and remediation is realized to maintain Citi’s compliance within Regulatory Reporting
• Responsible for resolving regulatory reporting exceptions and rejections daily across global regulations (EMIR, CFTC, MIFID, SEC etc), and conducting root cause analysis
• Identifying issues in reporting and proposing fixes by conducting and documenting root cause analysis with proposed solutions
• Working closely with the BAU Controls team to remediate rejections and exceptions within 5 days
• Tracking exceptions and rejections, ensuring all exceptions and rejections are remediated within 5 days as mandated within the upcoming EMIR and CFTC regulations and ASAP for all other global regulations
• Manage day-to-day communication partnering with internal regulatory reporting teams to understand issues and communicate effectively.
• Direct point of contact for rejections and exceptions with accountability to ensure all items are remediated within 5 days where required
• Responsible for liaising with internal Subject Matter Experts, understanding the problem(s) and communicating them to technology for fix
• Accountable for publication of daily MIS metrics to senior stakeholders
• Expected to provide input into establishing new controls to ensure remains complaint with the appropriate regulations.
• Build relationships across Operations & Technology, Compliance, Legal, Risk, Internal Audit and Cross-Asset business unit managers to ensure queries are addressed and remediated in an effective and efficient manner.
• Identification and tracking of risks and issues, ensuring appropriate escalation processes and timelines are followed, ensuring that we deliver improvements to our regulatory reporting obligations.
• Responsible for generating MIS, to ensure appropriate levels of transparency are provided to the wider REGOPS group & relevant stakeholders

Candidate Requirements

• Previous investment banking experience required
• Previous experience within Regulatory Reporting, such as: EMIR/CFTC/MIFID, highly desirable
• Excellent time keeping and documentation skills
• Critical thinking, solutions orientated and organisation skills
• Self-starting, enthusiastic & professional.
• Keen to learn and proactive in self-educating
• Ability to identify and communicate risk issues, concepts, andmitigations/solutionseffectively.
• Ability to engage with multiple stakeholders demonstrating strong verbal and written communication skills.
• Proven problem-solving and decision-making skills, capable of managing and resolving conflict with clients.
• Proficiency in Microsoft Office Tools

Time Type:

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