The Technology & Business Enablement (TBE) Chief Operating Office (TBE COO) is a driving factor in delivering value to our organization, businesses, regulators, and stakeholders. With responsibility for Control, Tech Business Execution, Tech Quality Assurance, Tech Data Transformation, Tech Regulatory Management and Governance, and the Tech Analytics and Decision Management, the TBE COO enables the organization to execute on the TBE Vision and Strategy.
The Technology Regulatory & Exam Management Officer (C13 – VP) will report to the NAM & International Technology Regulatory Exam Management Senior Lead. This role will be a member of the team which is responsible for maintaining and maturing our relationship with our Business partners and regulators. This role primarily covers India and the Asia clusters, as well as provides support to the Technology organization globally, to act as the coordination point assisting with regulatory engagement, regulatory examination management, and ongoing supervisory activities. The individual will be responsible with assisting with maintaining regulatory engagement, supporting the coordination of examinations, requests, and meetings with regulatory agencies as well as participating on special regulatory projects.
Responsibilities Include:
Exam Management
- Assist in driving the Technology regulatory examination process as a lead or support contact/central point 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 business management and their team in advance of regulatory exam meetings to ensure consistency, applicability of the message and the materials meet regulatory request/expectations
- Lead the collection, review and delivery of all deliverables and follow-up requests required for successful completion of the examination process
- Anticipate questions/concerns that may arise during the examination, be able to ‘connect the dots’ and communicate the ‘big picture’ to both the internal team and the regulators
- Communicate exam status and updates to Senior Management and the team
- Coordinate the preparation and review of regulatory examinations draft responses (as required)
- Utilize strong analytical skills to evaluate controls, identify control issues, review project plans and corrective actions to identify missing milestones and tasks
- Analyze regulatory requirements and help define and/or validate the controls that address these requirements
- Provide regional reporting to Senior Management on regulatory focus areas, themes and trends and items for escalation
- Review relevant regulatory publications and guidelines to determine possible impact on TBE controls and form a view on regulatory expectation to be communicated to senior management
Ongoing Supervisory Activities
- Assist and/or lead the engagement / attendance at all ongoing Supervisory / Management meetings
- "Connect-the-dots” from all regulatory interactions, both exams and meetings, and apprise management of common themes and new areas of focus
- Participate in periodic briefing / debriefing with other regulatory contacts across Citi to share regulatory points of view
- Coordinate the development and review of required quarterly regulatory status updates
- Monitor status of Regulatory Issue Corrective Action as well as the review and challenge of evidentiary materials in support of regulatory issue closure
- Analyze regulatory requirements and help define and/or validate the controls that address these requirements
Governance Activities
- Support and contribute to the management reporting on regulatory focus areas
- Ensure all relevant repositories reflect the current status for examination and ongoing supervisory activities, highlighting themes, trends, and items for escalation
Qualifications
- 5-7 years’ experience working in technology risk or control functions (such as Internal Audit) within a financial services organization and/or experience working as an auditor or for an external 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
- Must be a self-starter, flexible, innovative, and adaptive
- Exemplary written and oral communication skills with the ability to succinctly synthesize key messages and themes
- Excellent influencing and negotiation skills and ability to work effectively with all levels of the organization as well as geographically disbursed/matrixed teams
- Excellent project management and organizational skills with proven ability to work both independently and collaboratively in a fast-paced multi-tasking environment
- Ability to effectively navigate a complex organization
- Experience and ease in interfacing with Senior Management, preferred
- Demonstrated knowledge in area of focus, preferred
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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