Americas Senior Equities Risk & Control Officer (Director/SVP)

In response to heightened expectations from regulators and to ensure a strong and consistent control environment, the Global Equities business continues to expand its risk, governance and controls environment.  Equities business lines include Cash Equities, Equity Derivatives, Delta 1, Prime Finance and Sales/Sales Trading. Reporting to the Head of Equities Risk & Controls, the role will focus on leading and strengthening the Americas Equities Supervisory controls framework as well as ensuring consistency with firm-wide standards and regulatory expectations with Prudential Bank Regulations.

The role will interact extensively with senior management across the Global Equities business, central Markets teams, Independent Compliance Risk Management, Internal Audit, Bank Regulatory Legal and participate in updates to Senior Management. The role requires the individual to have a strong risk and governance background as well as experience managing control frameworks. Strong leader with proven experience driving complex horizontal programs across a matrix environment. Excellent communication skills required in order to negotiate internally, often at a senior level.  Provides advanced judgment and conducts in-depth quantitative or qualitative analysis to solve problems and develop new, innovative solutions.  Required to think beyond existing solutions, assumptions or current knowledge of business areas.

Ideal candidates should have some experience in designing and implementing risk and governance programs that meet regulatory expectations, for example US Broker-Dealer Supervision Rules (FINRA 3110, 3120, etc,) and, or Prudential Bank Regulations (K, O, W).  Issue and CAP management, as well as the ability to lead substantive remediation activity, will be a key responsibility.  The ability to effectively write and implement policies and procedures; and develop and monitor compliance metrics and key risk indicators is required.

Key Responsibilities

• Manage controls and supervision framework in Equities, including but not limited to Reg NMS, Reg SHO, Reg ATS, Best Execution, Consolidated Audit Trail (CAT)
• Work with the Business Supervisors, Technology & Control partners to efficiently build target state controls, system alerts, and re-engineer processes to ensure effective and best in class controls that meet regulatory expectations
• Apply knowledge of the Equities business, products and services to identify and implement control points and processes throughout the business.
• Provide expertise for regulatory remediation and implementation across Equities business, with a focus on Prudential Bank Regulations (K, O, W)
• Advise on control requirements and control standards appropriate for these prudential regulations to mitigate risks to the firm and drive control efficiency and optimization

• Determine approaches to ensure adequate governance and training are in place to risk and control objectives
• Assist in the implementation of policies, standards and procedures that conform to enterprise requirements and support sound operational and compliance risk management.
• Issue and CAP management; substantive remediation capabilities
• Represent Equities in various working groups and committees
• Liaise with ICRM and ORM to support aggregation of risks and determination of adequacy of controls and oversight of control gap remediation
• Work with the business to assess risks associated with New Products and work across functions to design risk mitigating solutions
• Facilitate and as required participate in ad-hoc reviews and regulatory / supervisory examinations of the wider business

Capabilities

• Strategic and project management capabilities coupled with strong analytical and operational skills
• Solid experience with US Equities Regulations including Reg NMS, Reg SHO, Reg ATS, Market Access Rule, Consolidated Audit Trail (CAT)
• Legal background preferable with subject matter expertise in US Bank Regulations
• Demonstrate the ability to synthesize information, prioritize business goals and drive results with a sense of urgency
• Exceptional communication, executive reporting, negotiation, and presentation skills
• Accomplished change leader, demonstrates a flexible approach and resilience to setbacks and can drive operating and culture change, long-term vision, and leadership stamina to maintain course within a constantly changing environment
• Proven leadership on large cross-functional teams focused on strategic process
• Creates and sustains a network of strong partnerships with the business (relationship and product management) and other functions, particularly decision makers and influencers
• Proven financial acumen, critical thinker with ability to provide an impartial, prudent, and solutions-oriented approach
• Strategically minded with track record of execution excellence
• Prior success working in a large, highly-matrix and complex organization; able to set priorities and 'triage' in a fast-paced, dynamic environment

Qualifications:

• 8+ years experience in financial services; experience leading analytical teams is required, including managerial experience
• Experience managing teams with broad accountability in a complex environment. Ability to work effectively in a cross-functional organization Ability to balance strategic priorities with tactical actions Proven track record and accountability in making quick decision that have an immediate impact on business financials .
• Excellent communication skills required in order to negotiate internally, often at a senior level. Some external communication/negotiation may be necessary.

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In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

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