Wealth Regulatory Reporting & Client Tax Operations Quality Assurance Head

We are seeking a highly skilled and experienced professional to lead the Global Regulatory Reporting & Client Tax Operations Quality Assurance (QA) team within our Wealth division. The Senior Global Regulatory Reporting & Client Tax Operations Quality Assurance (QA) Head will oversee the quality assurance framework for all regulatory reporting & Client Tax across multiple jurisdictions, ensuring compliance with diverse and complex regulations & Tax laws. This role is crucial for managing the integrity and accuracy of information across a broad range of wealth management products and client portfolios. The ideal candidate will possess in-depth knowledge of global financial regulations & taxes, a keen understanding of the intricacies of wealth management, and the ability to lead and inspire a global team.

Key Responsibilities:

• Strategic Leadership: Develop and implement a comprehensive quality assurance strategy for regulatory reporting & tax within Wealth, ensuring alignment with global regulatory & tax requirements and Citi’s overall compliance policies and risk management frameworks.
• Quality Assurance Oversight: Lead the QA function for regulatory reporting & tax, focusing on the complexity of global wealth management clients, products, and services. Ensure adherence to regulations such as Dodd-Frank, EMIR, MiFID II, FATCA, MAS & HKMA OTC Derivative reporting etc., and other local and international standards. Setup appropriate governance and oversight framework. Lead all the audit, internal and external review engagements. Communicate with regulators as required, co-ordinate back reporting/replay’s if necessary.
• Ensure all regulatory and tax processes have corresponding sample testing processes, controls, and monitoring.
• Team Management: Opportunity to setup a new global quality assurance team. Manage the team of QA professionals across multiple regions, providing leadership, mentorship, and performance management to ensure effective delivery of QA programs tailored to Wealth Management.
• Process Improvement: Identify and implement best practices to enhance the efficiency, accuracy, and consistency of regulatory reporting, considering the diverse range of products and services offered to global clients.
• Regulatory Compliance: Stay abreast of evolving global regulatory requirements, Citi policies, standards and adapt the QA framework to meet new compliance standards, especially those impacting wealth management products such as investments, alternatives, funds, deposits, structured products, and advisory services etc.
• Data Quality Management: Develop and monitor robust data quality metrics and controls to ensure the integrity of data used for regulatory reporting, from client data to complex product transactions.
• Stakeholder Collaboration: Collaborate with compliance, risk, legal, operations, technology, product owners, report owners, Enterprise data & regulatory reporting, and banking teams to address QA issues, develop remediation plans, and drive continuous improvement initiatives specific to Wealth Management.
• Risk Assessment: Conduct regular risk, self - assessments to identify gaps in existing QA processes, with a focus on mitigating compliance risks associated with diverse client portfolios and complex investment products. Prepare, monitor, and document global regulatory & tax KPIs & KRIs. Prepare and monitor regulatory reporting and tax metrics –including trend analysis and breach monitoring.
• Training and Development: Create and deliver training programs to enhance the technical and compliance skills of the QA team, fostering a culture of excellence and accountability within the team.
• Reporting and Analytics: Develop and present comprehensive reports to senior management on the status of QA programs, key findings, and recommendations for improvement, highlighting areas of risk and strategic focus.

Qualifications:

• Bachelor’s or Master’s degree in finance, Business, Economics, or a related field. Advanced certifications (e.g., CFA, CPA, FRM) are highly desirable.
• Extensiveexperience in regulatory reporting, quality assurance, or compliance within the financial services industry, with specific experience in Wealth Management.
• Proven leadership experience, with a track record of managing large, cross-functional teams across multiple locations, particularly in complex, global environments.
• In-depth knowledge of global regulatory frameworks (e.g., Dodd-Frank, EMIR, MiFID II, FATCA, CRS) and the ability to interpret and apply regulatory requirements to Wealth Management products and services.
• Strong analytical and problem-solving skills, with the ability to manage complex data sets, identify trends, and address issues within the context of wealth management client portfolios.
• Excellent communication and interpersonal skills, with the ability to influence and collaborate with stakeholders at all levels, including senior executives and front-office teams.
• Proficiency in using data analytics and QA tools; experience with automated QA testing frameworks is a plus.
• Ability to navigate a fast-paced, complex environment with multiple competing priorities.

Why Join Us?

• Global Impact: Play a key role in ensuring compliance and operational excellence across global wealth management markets, safeguarding the integrity of our client experience, relationships, and services.
• Career Growth: Lead and shape a critical function within the organization, with ample opportunities for career development and exposure to diverse markets and products.
• Collaborative Environment: Work with top-tier professionals from diverse backgrounds and regions, in a culture that values teamwork, innovation, and continuous improvement.

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