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 Lead (C14, SVP) will report to the Technology Regulatory Management Senior Lead and will be instrumental in establishing and implementing the Tech Regulatory Management strategy and execution, regulatory exam management and oversight, regulatory governance, and quality control processes within the India and the Asia clusters. This role will primarily focus on supporting Technology in India and the Asia clusters, as well as globally, to act as the coordination point for regulatory engagement and regulatory management of examination and ongoing supervisory activities. The individual will be responsible to support the coordination of examinations, requests, and meetings with regulatory agencies as well as participating on special regulatory projects.
Responsibilities Include:
Strategic Advisory
Actively engage with Technology partners regarding regulatory interaction activities across India and the Asia clusters to drive consistency and excellence in execution of regulatory deliverables
Attend relevant line of business governance forums for assigned coverage areas to cultivate SME familiarity of key business-as-usual and transformation activities while providing guidance on regulatory expectations
Exam Management
Coordinate Technology regulatory interaction activities in India and across the Asia clusters to ensure consistency and excellence in execution of regulatory deliverables
Drive the 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 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 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
Drive the coordination, development and review 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
Review relevant regulatory publications and guidelines to determine possible impact on Technology controls and form a view on regulatory expectation to be communicated to senior management
Provide regional reporting to Senior Management on regulatory focus areas, themes and trends and items for escalation
Ensure appropriate update on Tech regulatory landscape and escalation of relevant issues at Senior Management Governance committees
Ongoing Supervisory Activities
Lead the engagement / attendance at all ongoing Supervisory / Management meetings
Ability to readily "connect -the-dots" from all regulatory interactions, both exams and meetings and actively apprise management of common themes and new areas of focus
Actively 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 review and provide feedback on evidentiary materials in support of regulatory issue closure
Governance Activities:
Actively help drive 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:
10+ years of relevant experience
7 – 10 years' experience working in technology risk and / or control functions (such as internal audit) within a financial services organization
5 - 7 years' experience working with external regulators or Internal Audit within a financial services organization
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
Exemplary written and oral communication skills required, ability to succinctly synthesize key messages and themes
Experience and ease in interfacing with Senior Management preferred.
Excellent influencing and negotiation skills and ability to work effectively with all levels of the organization as well as geographically disbursed/matrix teams
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------------------------------------------------------
Job Family:
Regulatory Liaison & Exam Management------------------------------------------------------
Time Type:
Full time------------------------------------------------------
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