Citi Group Reg & Exam Mgmt Senior Officer - C15 NEW YORK 

United States, New York, New York 

172678763

Responsibilities:

• Executing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains regulatory risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the Client product and function coverage teams, in order to partner to develop and apply ICM program solutions that meet business and customer needs in a manner consistent with the Citi program framework.
• Coordinating interactions with regulators, including but not limited to: assisting in providing oversight for supervisory examinations and be a central contact for regulators; coordinating and managing events related to examinations and continuous monitoring, including working with businesses and functions in negotiating scope and timing of reviews, monitoring requested data aggregation and coordinating and attending regulatory meetings with control functions and business unit personnel; and collaborating with Business Heads to provide guidance on regulatory matters and continually enhancing the framework to identify, assess, control, and monitor regulatory communication.
• Providing strategic advice and regular updates to management (including prepare business personnel for meetings with regulators) regarding the matters being handled, including, but not limited to, collection, tracking and resolution of queries, review with the area under examination the materials requested to ensure completeness and responsiveness of submissions, and the timely escalation and resolution of potential issues.
• Communicating extensively (orally and in writing) and developing effective relationships with regulators.
• Establishing and developing effective relationships within Citigroup senior management, front line, second line (including independent risk, finance, HR, and Legal), Internal Audit, Board and legal entity management and boards to obtain information / documentation to respond to regulatory requests proactively and on time with quality.
• Identifying mitigating facts and circumstances (as applicable) to respond to potential issues identified during the examination, pre-exam sessions and post exam sessions.
• Monitoring the full lifecycle of identified regulatory issues ensuring that concerns are communicated, assigned responsibility, and tracked to resolution.
• Maintaining the centralized repository where documents are stored and previous regulatory and supervisory findings, reports and similar documents.
• Developing a valued interactive program of support and regulatory risk management services covering the assessment and reporting of Key Regulatory Risks across businesses and products, legal entities and jurisdictions, providing stakeholders with insight and practical solutions to improve the control culture and environment across Citigroup.
• 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.

Education:

• 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; extensive experience in area of focus; Advanced degree a plus

Anticipated Posting Close Date:

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