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Regulatory Compliance Control Specialist

2 months ago

Tampa, Florida, United States Citibank Full time

Group Overview:

The Client Reporting Oversight (CRO) team, part of the Data & Regulatory Operations division, is responsible for the governance and supervision of client reporting activities. This includes ensuring that trade confirmations, product prospectuses, and client statements are produced and delivered accurately, promptly, and in a controlled manner, while adhering to regulatory and service standards. The team also conducts quarterly security counts as mandated by 17a-13.

Role Overview:

The Regulatory Compliance Control Specialist is a key strategic professional who remains informed about advancements in their field and contributes to the overall strategy by applying this knowledge to their role and the organization. This position is recognized as a technical authority within the business and requires a fundamental understanding of commercial dynamics. The role demands strong communication and diplomatic skills to effectively guide and influence colleagues across various departments and occasionally external clients. The work produced has a significant impact on the area, influencing complex deliverables.

Key Responsibilities:

  • Support governance and oversight initiatives, defining strategies, processes, quality standards, tools, and reporting mechanisms that ensure consistent and excellent risk management.
  • Collaborate with business partners to identify findings and recommend improvements to practices.
  • Assist in Control Design Projects and manage issues from inception through to resolution, evaluating the operational environment for existing controls and potential enhancements.
  • Develop and implement procedural changes in collaboration with Operations teams to ensure robust governance and controls.
  • Review procedures for compliance with regulations and assess their impact on customer experience.
  • Operate with a degree of autonomy, leading strategic program implementations.
  • Act as a Subject Matter Expert (SME) for the Client Reporting Oversight Manager and other stakeholders.
  • Utilize business knowledge to identify and implement control points and processes throughout the organization.
  • Contribute to the governance and execution of the Manager Control Assessment (MCA), including risk assessment and approval related to business changes.
  • Monitor and coordinate the identification, documentation, and remediation of issues and corrective action plans.
  • Assist management in controlling Operational and Compliance Risk in line with established policies and contribute to policy reviews and enhancements.
  • Evaluate risks in business decisions, ensuring compliance with laws and regulations, and maintain transparency in reporting control issues.
  • Manage existing End User Computing (EUC) applications, lead automation efforts, and ensure effective inventory management governance.
  • Conduct detailed analyses to identify root causes of issues, partnering with control and process owners to recommend comprehensive corrective actions.
  • Create metrics for reporting and trend analysis.
  • Manage multiple projects simultaneously, ensuring effective risk assessment and compliance with relevant policies.

Qualifications:

  • 6-10 years of relevant experience in Business Risk & Controls.
  • 5+ years of experience in the financial services sector.
  • Proficiency in MS Excel, MS PowerPoint, and SQL.
  • Demonstrated ability to communicate clearly and effectively, both in writing and verbally.
  • Strong organizational and influencing skills.
  • Excellent problem-solving capabilities with attention to detail.
  • Proven track record in developing and implementing strategic initiatives and process improvements.
  • Familiarity with regulatory rules such as 10b-10, 606b-3, and 17a-13 is advantageous but not mandatory.
  • Knowledge of client documentation processes is a plus.

Education:

Bachelor's degree or equivalent experience.

Job Family Group: Compliance and Control

Job Family: Business Control

Time Type: Full time

Compensation: Competitive salary and benefits package available, including medical, dental, and vision coverage, 401(k), life insurance, and wellness programs.

Equal Opportunity Employer: Citi is committed to creating a diverse environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.