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Compliance Business Control Sr Analyst

2 months ago

Tampa, Florida, United States Citi Private Bank Full time
The Compliance Business Control Senior Analyst is a seasoned professional role on the Client Reporting Oversight (CRO) team within the Data & Regulatory Operations organization. The team functions as governance and oversight of trade confirmations, prospectuses, and client statements to ensure they are generated and delivered in an efficient, accurate, timely controlled manner while meeting regulatory and client requirements. By applying in-depth knowledge, contributing to the development of new techniques and the improvement of processes and workflow. Integrates subject matter and industry expertise. Evaluates moderately complex and variable issues with substantial potential impact, where development of an approach/taking of an action involves weighing various alternatives. Requires good analytical skills to filter, prioritize and validate potentially complex and dynamic material from multiple sources.

Key Responsibilities:
Responsible for the execution of control reconciliation and testing processes for the generation and delivery of trade confirmations, prospectuses, and client statements, based on regulatory and client requirements.Perform quarterly security reconciliations to count, examine, and verify the securities being held.Act as the Records Management Officer (RMO) to support the business and/or function with the Citi Records Management Policy, Standard, and Procedure, while assisting in the identification of records and coordinating the review of Record Inventories.Support the team on a day-to-day basis to ensure all BAU activities are completed accurately, timely, and to the highest standard.Assist in the preparation and presentation of materials as part of working group forum, while ensuring that all contributing teams are aware of what's required, that risks are actively managed before they become issues, and ensuring the successful delivery.Drafting of meeting minutes, weekly updates, project summaries and documentation where required.Ability to perform detailed analysis on the identification of issue root cause, partner with control and process owners to provide recommendations, corrective actions and improvements, while providing a check and challenge to ensure appropriate escalation in according with Issue Management and Escalation Policies.Produce metrics to senior management highlighting key issues and remediation status and maintain and enhance related operational and analytical procedures.Perform the execution of the Manager Control Assessment (MCA, , Risk & Control Self-Assessment) as required by the MCA Standard including the assessment and appropriate approval of risk associated with business changes.Assist management in achieving and maintaining strategic objectives, promotes efficiency, reduces the risk of loss, and helps ensure compliance with policies, procedures, laws, and regulatory requirements.Promote continuous improvement in all aspects of confirmation, prospectus and statement governance and oversight processes, (, Testing, Process reviews, Technology Enhancements) for continuous control monitoring.Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firms reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
Knowledge/Experience/Qualifications:
5+ years of related experienceExcellent analytical and problem-solving skills.Proficient in Microsoft Office with an emphasis on MS Excel and PowerPointExcellent communication and relationship skills across all management levelsAbility to quickly grasp and master new concepts/requirements, related products, and functional knowledgeMust be able to prioritize and manage multiple activities and drive results with a high sense of urgencySelf-motivated, effective under pressure and willing to take personal responsibilityWillingness to question/challenge the status quoOutstanding attention to detailKnowledge of any of the below areas and/or functions would be a plus: Broker-dealer functions including record keeping, settlement mechanics, and trade processingUS Cash Securities process lifecycleEquity and Debt securities
Education:
Bachelor's/University degree or equivalent experience