Senior Vice President, Transaction Capture Sr Mgr, Operations

The Securities & Derivatives Group Manager is a senior management level position responsible for accomplishing results through the management of a team or department in an effort to process orders and transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Services team.The overall objective of this role is to ensure the seamless delivery of securities and derivatives transactions.

The candidate will ensure completion of the primary responsibilities detailed below. The role involves consistently improving processes and enhancing functionality, while delivering excellent service to both internal and external stakeholders.

The primary responsibilities for the role are as follows:

• Ensure completion of cash securities settlement in international markets and meet Japan local regulation as well as regulations in international markets.
• Review and establish controls for day-to-day processes.
• Serves as a subject matter expert and central point of contact for advice and interact with Business, Legal and Compliance as needed to provide responses to inquiries as well as support any internal and external requirements.
• Mitigate, manage, proactively escalates, track and ensure resolution on issues that pose operational risk to the firm.
• Develop and maintain effective partnerships with all stakeholders on Cash Securities area.
• Lead front to back testing of business and regulatory change, ensure that the results are documented and presented for sign off by the supervisor/stakeholders.
• Automation and Change Management for on-boarding of new functions.
• Develop members of the team to become the future leaders of the organization
• As leadership member assesses and coordinates structural changes required to ensure a stable, financially prudent and globally connected Cash Securities group. Excels at meeting out performance metrics to drive for excellence.

Job Purpose:

• The role will manage Foreign Securities Operations in Japan Markets Operations.
• The role will manage processing Fixed Income, Equity and Investment Trust Fund settlements in international markets.
• To lead projects and collaborate to offer solutions at an advanced level for assigned area.
• Responsible for end-to-end project management, resource management, financial issues, and mitigating any risks to execution
• Recommends and implements systems and procedural enhancements for Cash Securities Settlements.
• Be a risk manager who is continually monitoring potential risks, escalating on time as well as acting as senior point of escalation.
• Responsible for day-to-day resource management and allocation of work within the team/project. Persuades and Influences others through developed communication skills.
• Performs other duties as assigned by supervisor.
• Appropriately assess risk when business decisions are made, demonstrating consideration for the firm's 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.
• Partner with technology, legal, compliance, finance, risk & control to identify project resourcing needs and prepare project proposal for necessary requisitions and work with Audit partners during reviews.
• Builds relationship with global partners, maintains and mitigates the regional/country risk, and ensures to keep the consistency in following global procedure.

Organizational Oversight:

• Overseeing and leading daily / weekly / monthly / annual Regulatory Reporting maintaining a culture and environment where processes, risks and controls are continually monitored, and potential risks escalated on a timely basis
• Developing an effective control framework that fully meets Audit, Compliance and Regulatory requirements; delivery of periodic presentations to external regulators as required
• Ensuring the infrastructure and tools are in place to effectively manage risk and meet our regulators to a high standard

People Agenda:

• Implementing a successful People and Engagement strategy to help attract, develop, retain and recognize a diverse and talented global workforce 
• Promoting a culture of continuous improvement and cultivating a robust service and control environment
• Engaging with and leading our People.  Developing effective and diverse teams across a global footprint
• Coaching and mentoring our People.  Ensuring effective one to one discussion.  Providing direction, feedback, support, and encouragement for career development
• Championing diversity and inclusion to create a working environment which allows our People to thrive and excel

Qualifications and Skills:

• BS/BA degree or equivalent work experience preferred
• Senior level experience in a related role
• Subject matter expert in Cash Securities settlement especially in international products
• Experience and knowledge in Japan domestic market is preferrable
• Over 10 years of experience
• Deep and wide knowledge for Broker Dealer business / Cash product.
• Energetic, flexible, collaborative, and proactive; a leader who can positively and productively add product impact to both strategic and tactical technology
• Strong, influential communicator who is articulate and concise, demonstrated success interacting with stakeholders both in the business as well as the Operations, Business and Technology environments
• Strong risk management and control mindset
• Provides evaluative judgment based on analysis of factual information in complicated, unique and dynamic situations; draws on diverse range of internal and external sources
• Self-reliant, good problem solver, results oriented
• Demonstrated experience leading people and developing effective and diverse teams across a global footprint.
• Ability to establish and build trust with professionals throughout the business as a leader, advisor, and business partner to the organization.
• Strong awareness of both external and internal best practice perspectives, maintaining a balanced and fresh viewpoint.
• Ability to conceptualize aspects of the organization’s model and its future development.
• Excellent communicator both in writing and speaking in English and Japanese.

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