Citi Group Legal Support Lead Officer - Regulatory Requirements 

United States, Texas, Houston 

940473522

The RRO Program Office supports the identification of regulatory changes and maintenance of the Financial Regulations Management Inventory.

This is a Lead Role in the Legal - RRO Control Design and Oversight (CDO) team responsible for supporting the assessment, design and implementation of processes and controls, and recommending solutions, to mitigate risks, streamline processes and drive efficiencies / improvements across the program in line with corporate policies, legal and regulatory requirements, and industry standards.. Knowledge and understanding of controls, design enhancement and implementation preferred.

Responsibilities:

• Support the assessment of processes, identification of control gaps, analysis of findings, and solutions to streamline processes and enhance efficiency, working under the guidance of senior team members
• Assist in the design and implementation of Legal RRO controls and oversight activities, including desktop procedures, process flows, and testing plans, ensuring alignment with company policies, industry standards, and regulatory expectations
• Collaborate effectively with team members and cross-functional teams, including compliance and technology, to mitigate key risks and promote a culture of compliance
• Consistently apply understanding of Legal RRO risks and controls to provide support to the Legal RRO team on quality reviews, internal audits, and regulatory exams and findings
• Perform and execute testing of Legal RRO oversight controls, ensuring on-time delivery of workpapers in line with company policies and quality standards
• Support the identification, thematic analysis, tracking, and remediation of control deficiencies and issues, ensuring timely resolution and escalation as guided by senior team members
• Support the preparation of reports on the status of risks, controls, issues, and remediation efforts
• Provide guidance and/or support to team members, fostering a collaborative and high-performing environment
• Participates in legal programs and projects to achieve coordinated and efficient process improvements and legal support solutions; liaise with other control/functional businesses in support of initiatives
• Conduct independent research, investigation and analysis, applying institutional knowledge and understanding of applicable laws, rules and regulations, to support planning and development initiatives, and contribute to business objectives
• Promote a culture of compliance by applying sound ethical judgment regarding personal behavior, conduct and business practices.

Qualifications:

• 6-10 years of relevant industry experience, preferably with some experience working in an in-house legal role within financial services
• Ability to manage complex documentation with organization and detail
• Must possess excellent interpersonal and project management skills, as well as the ability to interact and communicate effectively with Senior management
• Proficient in Microsoft Office: Word, PowerPoint, Excel, Outlook
• Knowledge and understanding of the financial services industry
• Prior experience executing the design and operating effectiveness testing of controls preferred

Education:

• Bachelors/University degree, Master’s degree preferred

Anticipated Posting Close Date:

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