Regulatory and Exam Management, Vp

3 weeks ago

New York, United States Citi Full time

**Regulatory and Exam Management, VP - Hybrid**
- The Operations & Technology (O&T) Chief Operating Office (COO) is a driving force in delivering value to our organization, our businesses, regulators, and stakeholders. With responsibility for Risk and Control, Quality Assurance, Transformation, and O&T Regulatory Management, the O&T COO enables the organization to execute on O&T’s Vision and Strategy._
- The O&T Regulatory Exam Management Officer will report to the O&T Regulatory Engagement Senior Lead and will be leading and coordinating the O&T's regulatory exam management activities (including regular and ad hoc meetings) globally, and support O&T regulatory governance and quality control processes. This role requires interaction with Citi's primary US regulators (the OCC/FRB/FDIC) and also lead/support exam activities in the International clusters._

**Responsibilities**:

- _ Independently Lead and Coordinate O&T regulatory interaction activities for O&T exams and support exams that impact O&T. _
- _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 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 _
- _If required, responsible for the coordination, development and review regulatory examinations draft responses_
- _ Utilize strong analytical skills to evaluate controls, identify control issues, review project plans and corrective actions to identify missing milestones and tasks. _
- _Review relevant regulatory publications and guidelines to determine possible impact on O&T controls and form a view on regulatory expectation to be communicated to senior management_
- _ Ensure appropriate update on O&T regulatory landscape is shared with stakeholders and appropriate escalation of relevant issues._
- Ongoing Supervisory Activities_
- _ Independently Lead the engagement / attendance at all ongoing Supervisory / Regulatory Management meetings._
- _ Ability to “connect the dots” from all regulatory interactions, both exams and meetings and apprise management of common themes and new areas of focus._
- _ 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._
- _ Analyze regulatory requirements and help define and/or validate the controls that address these requirements._

**Qualifications**:

- _ 5+ years of relevant experience, p_referably of working in operations or technology risk and / or control functions (such as internal audit) 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_
- _ 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_
- _ Must be a self-starter, flexible, innovative and adaptive_
- _ Ability to both work collaboratively and independently; ability to navigate a complex organization_

**Education**:

- _ Bachelor’s degree; or equivalent_
- **Job Family Group**:
Compliance and Control
- **Job Family**:
Regulatory Liaison & Exam Management
- **Time Type**:
Full time
- **Primary Location**:
New York New York Uni

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