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Technology Risk Regulatory & Audit Engagement DirectorApply Now Locations: Irving, Texas, Jacksonville, Florida Job Function: Compliance and Control Employee Status: Regular Job ID: 20178731
The Technology Risk Regulatory and Audit Engagement Director / Grp Mgr is accountable for development of regulatory communications, regulatory exam coordination, global/enterprise audit coordination, and overseeing audit issue validation processes for the CBORC-Tech organization. Leads and directs a team of professionals, often through indirect influence. Requires a comprehensive understanding of multiple areas within the Global Consumer Technology function and ability to frame communications of function activities for executive and regulatory audiences. Excellent communication skills required in order to negotiate internally, often at a senior level. Some external communication may be necessary. Accountable for the effectiveness of controls supporting regulatory communications/exams, enterprise/global audits, and audit issue validation governance. Involved in short- to medium-term planning of actions and resources for own area and supports global leadership of the CBORC-Tech team. Full management responsibility of a team of 1-4 individuals, including management of people, performance evaluation, compensation, hiring, disciplinary actions and terminations.
- Coordinating regulatory activities, including but not limited to: coordinating creation of quarterly Technology regulatory updates, assisting in providing oversight for supervisory examinations and be the central contact for Citi regulatory liaisons; coordinating and managing events related to examinations and continuous monitoring, including working with businesses and functions in developing materials and preparing for regulatory discussions.
- Providing strategic advice and regular updates to management (including prepare technology personnel for meetings with regulators) regarding the matters being handled, including, but not limited to, collection, tracking and resolution of queries, review with the area under examination the materials requested to ensure completeness and responsiveness of submissions, and the timely escalation and resolution of potential issues.
- Develop and deliver executive level communication
- Establishing and developing effective relationships within Global Consumer Technology senior management, front line, second line (including ORM, finance, HR, and Legal), and Internal Audit to obtain information / documentation to respond to regulatory requests proactively and on time with quality.
- Identifying mitigating facts and circumstances (as applicable) to respond to potential issues identified during the examination, pre-exam sessions and post exam sessions.
- Monitoring the full lifecycle of identified regulatory issues ensuring that concerns are communicated, assigned responsibility, and tracked to resolution (including Technology Dependent regulatory issues).
- Maintaining the centralized repository where documents are stored, including previous regulatory and supervisory findings, reports and similar documents.
- Provide central coordination for Enterprise/Global Audits for the Consumer Technology organization, partnering with regional peers as needed to deliver required audit artifacts/responses.
- Define, implement, and lead a governance process for CBORC-Tech validation of audit/regulatory issues, ensuring issues appropriately address the identified risk prior to submission for closure.
- 8-10 years experience in risk management framework and audit/regulatory engagement
- Highly motivated, strong attention to detail, team oriented, organized
- Excellent written, verbal and analytical skills; Communicating extensively and succinctly (orally and in writing).
- Strong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging at multiple levels
- Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders in a global environment
- Experience coordinating with regulators and previous exposure to internal or external control functions and regulators. Preferably international or cross-border regulatory experience
- Ability to challenge technology management and escalate issues when appropriate
- Strong track record of effectively assessing and managing competing priorities
- Comfort navigating complex, highly-matrixed organizations
- Comfortable acting as an agent for positive change with agility and flexibility
- Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essential
- Should have Excellent proficiency in Microsoft Office – particularly Excel (metrics and data analysis), PowerPoint (presentation decks), and Word (writing and editing procedural and technical documentation).
- Professional ability and presence to interact with Senior Bank, Regulatory and Audit Management.
- Experience working in a technology organization preferred.
- Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; extensive experience in area of focus; previous experience managing a diverse staff; Advanced degree preferred
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