Global Head of Information Barrier Surveillance Group
The successful candidate will have strong technical knowledge of global compliance regulations and requirements, surveillance systems, and the full range of capital markets products developed through 10-15 years of experience with another complex, global financial institution, regulator or related industry participant.
Specifically, the successful candidate will have:
- A solid understanding of the equity, fixed income, commodities and derivatives markets as related to the portfolios he/she will be responsible for
- Credibility as a subject matter expert and experience dealing with issues that have a high impact at all levels of the organization
- An ability to be "hands on" and "in the trenches" with the direct team when appropriate, while also bringing a sense of strategic vision and a global sensibility to the function
- Ability to navigate and negotiate through conflicting demands to maintain focus on priority objectives while ensuring key stakeholders' needs are met
- Strong team leadership, communication, interpersonal and management skills, with a track record of leading through change and the ability to tailor the message to various audiences
- The ability to thrive in a complex, highly matrixed, global environment
- A depth of understanding of technology systems and how surveillance works, with the ability to drive significant enhancements, manage vendor relationships, and work across the technology group, compliance project management group, global peers and other key stakeholders to drive improvements to current tools and applications
- Demonstrable experience in partnering with internal and external IT delivery teams regarding the management of project lifecycle components, including business requirements development and user acceptance testing
- An undergraduate university degree from a recognized academic institution
- Ability to travel to both primary and secondary locations on a regular basis
ICRM General Management Responsibilities
- Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to compliance risk, operational risk, regulatory compliance risk, AML, risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, and Compliance Risk Management Framework.
- Champions a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vision/values/business strategy and managing succession and development planning for the team.
- Provide strategic direction in supporting the product and program aligned ICRM teams in the establishment of CRM framework and the Plan, which are consistent with business objectives.
- Change agent and be the transformation leader in the region and be accountable to the Transformation Managing Director.
- Partner closely with the Head of AML to ensure a strong linkage between ICRM and AML
- Act as thought leader in all aspects of governance, risk management and internal control, and proactively provide and drive ICRM colleagues to provide valued and timely compliance risk management services to the Board and executive management in the region.
- Develop significant senior line management relationships, including legal entity management and Citi Country Officers (CCOs) as well as product and business line management. Develop a valued interactive program of support for compliance risk management to senior management on compliance issues, trends, themes, root causes and impacts to the respective business activities and the group.
- Develop regulatory relationships in all regions. Develop a valued interactive program of support and assurance in accordance with requirements and appropriate expectations to regulators and supervisors on compliance issues, trends, themes, root causes and impacts relating to governance, risk management and internal control issues.
- Develop a valued interactive program of support and compliance risk management services covering the assessment and reporting of Key Compliance Risks across businesses and products, legal entities and jurisdictions, providing stakeholders with insight and practical solutions to improve the control culture and environment across Citigroup.
- Provide support to legal entity Chief Compliance Officers in their governance reporting and functional responsibilities to subsidiary boards, audit committees and risk management committees, as appropriate, on Compliance and compliance risk issues, trends, themes, root causes and impacts to the respective business activities of the entities and relevant themes and issues from across the region.
- Assist in the maintenance on-going assessment of State of Compliance across businesses and products, legal entities and jurisdictions, providing stakeholders with insight and practical solutions to improve the control culture and environment.
- Ensure compliance with ICMR methodology and CRM framework.
- Ensure timely delivery of committed compliance plan to an outstanding quality standard for the region.
- Develop talent within ICRM regionally and promote opportunities for ICRM talent to develop within ICRM and in other parts of Citigroup in the region.
- Proactively anticipate and help the business plan for changes in the compliance and regulatory environment through active and accountable participation of Compliance Risk Assessment process.
- Build and maintain strong relationships with other functional heads, working closely with Legal, IRM and IA to create a supportive and seamless compliance/control environment and culture.
Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity
Citi won't discriminate against anyone for discussing pay, but those with access to pay data in their work can't disclose it unless responding to complaints/investigations or legal requirements.
Job Status: Full Time
Job Reference #: 18005357