Capital Markets Regulatory Engagement Officer VP (Hybrid)

The Capital Markets Regulatory Engagement Officer will be part of Citi’s Global Regulatory Engagement team and report directly to the Capital Markets Regulatory Engagement Lead.

Citi’s Global Regulatory Engagement Team is responsible for the engagement strategy and execution and the regulatory exam management execution and oversight across all of Citi’s regulators.

The Capital Markets Regulatory Engagement Officer will support Citi’s regulatory engagement across Capital Markets Regulators – SEC, CFTC, FINRA, NFA.   The Capital Markets Regulatory Engagement Officer is responsible for the execution of the Capital Markets Engagement Strategy, which includes leading and / or assisting in the management of regulatory activities (i.e., Examinations. Continuous Monitoring and Requests for Information)

Key Responsibilities:

• Support the overall Capital Markets Regulatory relationship coverage and the end-to-end execution for Capital Markets Regulatory Activities (i.e., Examinations. Continuous Monitoring and Requests for Information)
• Lead and/or assist in providing oversight for Capital Markets Regulatory Activities; serve as a central contact for regulators and internal Businesses and Functions.
  • Coordinate and manage all events related Capital Markets Regulatory Activities including, but not limited to:
  • Review scope of requests and coordinate with appropriate internal stakeholders,
  • Aid in the preparation of regulatory responses to ensure timely and accurate submission,
  • Attend and summarize regulatory meetings with internal stakeholders,
  • Communicate and escalate concerns, emerging themes, or potential issues in a timely and concise manner.
• Build strong partnerships and collaborate with internal stakeholders to provide guidance on regulatory matters and enhance the control environment. 
• Partner with Business/Function Regulatory Management Teams to share best practices, identify themes and ensure appropriate and consistent responses.
• Prepare reporting for senior management regarding Capital Markets Regulatory activity.
• Prepare briefing materials for internal stakeholders for upcoming Capital Markets Regulatory activity.
• Coordinate with key stakeholders to address regulatory issues to ensure timely remediation in line with regulatory expectations.
• Provide regulatory agency relationship support as needed (logistics, technology, reporting and research).
• Ensure the Regulatory Event Tracking (RET) system is updated for relevant interactions
• Ability to interact with individuals across Citi at all levels, businesses, and locations, providing a broad understanding of the organization while building relationships throughout Citi

Qualifications

• Bachelor’s degree; Advanced Degree a plus
• 6+ years of relevant work experience in financial services preferred.
• Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus.
• Knowledge of SEC, CFTC, FINRA, NFA laws, rules and regulations and industry standards.
• Experience in managing regulatory activities, audits, or enterprise-wide risk management projects at a complex financial institution.
• Excellent project management and organizational skills and capability to handle multiple projects at one time.
• Highly motivated, strong attention to detail, team oriented, organized
• Pro-active problem-solver who works well in high-pressure fast-paced environments.
• High proficiency with Microsoft Office, particularly Excel for reporting and PowerPoint for presentation development
• Strong written/verbal communications skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Comfortable navigating complex, highly-matrixed organizations
• Strong interpersonal skills for interfacing both internally and externally

Education:

• Bachelor’s Degree/University degree or equivalent experience in Business, Accounting, or Finance

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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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Anticipated Posting Close Date:

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Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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