Serves as an officer for COO's Operations Regulatory Management (exams and interactions) responsible for the promotion, support, monitoring and reporting on Citi’s interactions with its regulators, including queries arising in the normal course of business outside of specific examinations, and managing supervisory examinations, globally.
The Regulatory Exam Management Officer will report to the Regulatory Engagement Senior Lead, and will be responsible for lead/supporting the coordination of exams, requests for information and regular and ad hoc meetings with regulatory agencies.
Responsibilities Include:
Exam Management:
- Lead/Support coordination of Operations regulatory interaction activities for Operations exams and support other exams/interactions that impact Operations.
- Partner and collaborate with other regulatory exam management teams (including Global Regulatory Engagement team) to ensure consistency and excellence in execution of regulatory deliverables.
- Drive the regulatory examination process as a lead or support other point of contact (POC) of communication with regulators for examinations and requests – schedule, objectives, etc.
- Support the definition and communication strategies for regulatory exam management in order, to meet Citi’s legal, regulatory and compliance requirements.
- Oversee regulatory preparatory activities and provide feedback to management and the team regarding deliverable request and meeting materials.
- Provide coaching to the management and team in advance of regulatory exam meetings to ensure consistency, applicability of the message and the materials meet regulatory request/expectations.
- Lead/Support the collection, review and delivery of all deliverables and follow-up requests required for successful completion of the examination process.
- Anticipate questions and/or concerns that may arise during the examination, be able to ‘connect the dots’ and be able to communicate the ‘big picture’ to both the internal team and the regulators.
- Responsible for communicating exam status and updates to Senior Management and the team.
- Where required, responsible for the coordination, development and review regulatory examinations draft responses.
- Analyze regulatory requirements and help define and/or validate the controls that address these requirements.
- Ensure appropriate update on Operations regulatory landscape is shared with stakeholders and appropriate escalation of relevant issues.
- Able to independently manage regulatory engagement/attendance at all ongoing Supervisory / Regulatory Management meetings.
- Utilize strong analytical skills (connect the dots) to evaluate control issues, corrective actions and regulatory interactions, both exams and meetings, and apprise management of common themes and new areas of focus.
Qualifications:
- 10+ years of experience in financial services/regulated firms; Preference for experience of gained in a similar role or governance/oversight or control functions (such as internal audit, QA) and project management skills, within a financial services organization and/or experience working for a regulator.
- Demonstrated leadership and adaptability when facing unique challenges of a dynamic organization.
- Strong interpersonal skills, including the ability to partner with others and deal effectively with multiple projects and changing priorities.
- Strong analytical and problem-solving skills with excellent follow-up and strong attention to detail
- Excellent written and verbal communication skills required, ability to succinctly synthesize key messages and themes.
- Experience and confidence in interfacing with Senior Management.
- Proven ability to work independently in a fast-paced multi-tasking environment.
Education:
- Bachelor’s/University degree or equivalent experience
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Job Family Group:
Compliance and Control
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Job Family:
Regulatory Liaison & Exam Management
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Time Type:
Full time
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