Citi Group Syndicate Operations Head 

United States, New York 

790636211

Our roles entail ensuring we operate in a robust control environment, whilst in a fast-paced workplace. We comply with global regulations and internal policies and adopt a proactive approach to identifying opportunities to reduce risk through the continuous evaluation of our controls; to protect our clients, the firm, and our reputation.

We work closely with our external global peers, partners, and regulators, and play an integral part in leading an agenda at the forefront to optimize and streamline processes and drive strategy across our industry.

The Role:

This remit spans both Syndicate Middle Office and Settlement staff, responsible for the leadership and management of a diverse group of 18 people across our Manhattan and Buffalo sites.

Our Syndicate Settlement Staff are responsible for coordinating logistics surrounding deal pipeline spanning account setup, SSI maintenance, Timely settlement associated exception monitoring.

Job Purpose

The Candidate's primary objectives will be to:

• Evaluate then evolve existing Control environment, Regulatory filing & Monitoring Capabilities as well as MCA Completeness.
• Perform Front to back Roles and Responsibilities review to align with the global target operating model between Middle Office, Settlements, and the business.
• Lead the inflight automation agenda to deliver strategic initiatives which reduce Operational Touchpoints thus reducing processing and payment risk.
• Unbundle core control tasks from desk supporting SME and create a central dedicated control function by attracting/retaining talent.
• The candidate will have direct oversight of groups Supervisory Control Dashboards & Checklists whilst facing off to business in Weekly/Monthly Control reviews.
• Representing Syndicate Operations in leading firm wide transformation efforts.
• Represent Citi in industry wide forums / working groups to drive common standards and best practices.
• Series 99 Supervisor of Covered Functions, actions as Operations lead for Primary issuance deal related Prospectus & Trace and Business activity owner for associated vendor relationships.

Organizational Oversight:

• Overseeing and leading daily core operations championing a proactive culture and environment where processes, risks and controls are continually monitored, and potential risks escalated on a timely basis as well as acting as a senior point of escalation.
• Developing an effective control framework that fully meets Audit, Compliance and Regulatory requirements; delivery of periodic presentations to external regulators as required.
• Ensuring the infrastructure and tools are in place to effectively manage risk and service our clients to a high standard.

Stakeholder Engagement:

• Acting as key point of contact representing broader ECM/DCM Operations groups across internal and external stakeholders
• Continued engagement and face off with a range of senior Business, Technology and Operations partners.
• Supports and partners with the Business to facilitate a growing and expanding client base / operational offering.
• Engaging in client discussions & relationship management activities as required to support the Business.

People Agenda:

• Implementing a successful People and Engagement strategy to help attract, develop, retain, and recognize a diverse and talented global workforce.

• Promoting a culture of continuous improvement and cultivating a robust service and control environment
• Coaching and mentoring our People. Ensuring effective one to one discussion. Providing direction, feedback, support, and encouragement for career development
• Championing diversity and inclusion to create a working environment which allows our People to thrive and excel.

Organizational Transformation:

• Leading a series of control and Automation initiatives to execute on Target Operating Model
• Partnering with business, Tech, Ops and Finance Stakeholder during complex re-engineering initiatives, with conscious intent to standardize and industrial flow, reducing manual touch points and aligning tech delivery vs. business goal and wallet share optimization.
• Driving the implementation of initiatives to continuously improve STP rates and productivity, including the use of robotics, workflow, and other innovative re-engineering techniques.
• Active engagement and thought leadership in the development and implementation of multi-year operations strategy for Syndicate Operations, in partnership with the Business and Technology stakeholders.

Qualifications and Skills:

• Finra Series 99 registered preferred
• 10+ years of experience in Tier 1 global financial institutions with strong experience in either Equity and / Debt Markets Middle Office or Operations.
• Energetic, flexible, collaborative, and proactive; a leader who can positively and productively add product impact to both strategic and tactical technology.
• Strong, influential communicator who is articulate and concise, demonstrated success interacting with senior management both in the business, corporate functions as well as the Operations, Business and Technology environments.
• Self-reliant, good problem solver, results oriented with strong awareness and a strong risk management and control mindset.

Anticipated Posting Close Date:

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