Citi

Regulation and Compliance Risk Manager – Senior Vice President

Citi

full-time

Posted on:

Origin:  • 🇺🇸 United States • Florida, New York

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Salary

💰 $130,880 - $196,320 per year

Job Level

Senior

About the role

  • The Regulatory & Compliance Risk SVP will be a part of the Regulatory & Compliance Risk, Services Controls Regulatory Management organization and will collaborate with stakeholders to manage various key Compliance Risks for the Global Services Organization. Execution will require driving initiatives across Clusters, and Products ensuring alignment with regulatory and stakeholder expectations. This role involves proactively supporting business initiatives, managing compliance and regulatory risks, and overseeing risk and control responsibilities. The SVP will work closely with business and functional partners (ICRM, Independent Risk, Internal Audit, ORM, and Legal), provide updates and progress reports to the leadership team, and escalate any issues or decisions needed. Design and deliver a risk management framework aligned to the firm’s risk appetite to safeguard the franchise, Drive first line oversight and end to end management, execution, and governance of key Compliance Programs such as Conduct, Conflicts of Interest and Compliant Management Governance and Oversight. Work on the Strategic vision for Compliant Management Governance and Oversight, focusing on creating efficiencies, compliance and collaborating with key stakeholders to improve reporting and metrics. Work to establish thematic analysis and insight coming from our Complaint reporting, identify improvements, emerging risks and escalation and socialization to senior management. Represent the Services business on Enterprise-wide Compliance Risk Program forums to understand various new initiatives, Services impact and practicalities of implementation and accordingly challenge or implement such institutional changes. Understand and coordinate dependencies with other Citi Programs (e.g. Central Risk & Controls) and engage with partner businesses (Markets, Banking) for consistent delivery. Track and Report, develop metrics for overall deliverable and activity progress of Services level programs, deliverables and activities to the leadership. Serves as key business/product compliance and regulatory risk manager and thought leader for Services responsible for establishing internal strategies, procedures, processes, and programs to prevent violations of law, rule or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.

Requirements

  • 8 years of experience in Financial Services and Regulatory Risk Practical understanding of Compliance & Regulatory Risk is essential, including but not limited to expertise in regulatory management and obligations, regulatory change as well as social responsibility requirements for example. Experience implementing and or overseeing of Compliant Management, Conduct and or Conflicts of interest programs, including Policy and Procedure as well as establishing metrics and KPIs as required. Should demonstrate a commitment to quality and attention to detail. Excellent interpersonal relationships with ability to influence and negotiate with stakeholders. Critical thinking and problem-solving skills. Excellent communication skills required, strong influencer with focus on building relationships and ability to negotiate internally, often at a senior level. Demonstrates clear and concise written communications. Understanding of best-practice risk management techniques across financial services industry specifically within Regulatory and Compliance risk. Proven leadership and project management skills to drive alignment across stakeholder groups to develop and deliver sustainable risk management solutions and controls Knowledge of Services related products including related control principles Global mindset, with regional/product understanding