Citi Group Regulatory Engagement Exam Officer-SVP Hybrid 

United States, New York, New York 

20430275

• Responsible for the engagement strategy and execution and the regulatory exam management execution and oversight across Capital Markets Regulators – SEC, CFTC, FINRA, NFA
• Support the overall Capital Markets Regulatory relationship coverage and the end-to-end execution for Capital Markets Regulatory Activities (i.e., Examinations. Continuous Monitoring and Requests for Information)

• Manage and drive the oversight for Capital Markets Regulatory Activities; serve as a central contact for regulators and internal Businesses and Functions.
• Coordinate and manage all events related Capital Markets Regulatory Activities including, but not limited to:
  • Review scope of requests and coordinate with appropriate internal stakeholders,
  • Aid in the preparation of regulatory responses to ensure timely and accurate submission, Provide review and challenge of responses to ensure regulatory feedback is addressed
  • Attend and summarize regulatory meetings with internal stakeholders,
  • Communicate and escalate concerns, emerging themes, or potential issues in a timely and concise manner.
• Develop and advance effective relationship with key senior stakeholders to provide guidance on regulatory matters and enhance the control environment.
• Identify Capital Markets Regulatory developments and analyze implications across Citi wide activities.
• Partner with Business/Function Regulatory Management Teams to share best practices, identify themes and ensure appropriate and consistent responses.
• Provide strategic advice and regular updates to management regarding Capital Markets Regulatory activity; attend internal governance meetings.
• Drive the preparation for internal stakeholders for upcoming Capital Markets Regulatory activity.
• Monitor the full lifecycle of identified regulatory issues ensuring that concerns are communicated, assigned responsibility, and tracked to resolution. Lead key stakeholders to address regulatory issues to ensure timely remediation in line with regulatory expectations.
• Provide regulatory agency relationship support as needed (logistics, technology, reporting and research).
• Ensure the Regulatory Event Tracking (RET) system is updated for relevant interactions
• Ability to interact with individuals across Citi at all levels, businesses, and locations, providing a broad understanding of the organization while building relationships throughout Citi

Qualifications

• Bachelor’s degree; Advanced Degree a plus.
• 10+ years of relevant work experience in financial services preferred.
• Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus.
• Expertise of SEC, CFTC, FINRA, NFA laws, rules and regulations and industry standards.
• Experience in managing regulatory activities, audits, or enterprise-wide risk management projects at a complex financial institution.
• Excellent project management and organizational skills and capability to handle multiple projects at one time.
• Highly motivated, strong attention to detail, team oriented, organized
• Pro-active problem-solver who works well in high-pressure fast-paced environments.
• High proficiency with Microsoft Office, particularly Excel for reporting and PowerPoint for presentation development
• Strong written/verbal communications skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Comfortable navigating complex, highly-matrixed organizations
• Strong interpersonal skills for interfacing both internally and externally

Education:

• Bachelor’s Degree/University degree or equivalent experience in Business, Accounting, or Finance

Anticipated Posting Close Date:

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