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E-Trading Risk & Controls - VP

Job Req ID 22566113 Location(s) New York, New York Job Category Risk Management
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E-Trading Risk and Controls (ETRC) is a global team that is part of the Markets CAO function. ETRC sits within the Front Office / First Line and works closely with each E-Trading Business across Markets, as well as the Second Line risk functions. The team is actively expanding in the NAM/LATAM region, and this role will primarily focus on the buildout of a centralized framework to support CGMI annual certification and attestations processes (i.e. Market Access Rule 15c3-5).

Key responsibilities of the ETRC team include:

  • Project management of key Markets wide E-Trading initiatives and remediation of corrective actions arising from Regulators and Internal Audit

  • Governance and oversight of E-Trading businesses across Markets, which includes annual attestation/review of key E-Trading documentation, Annual MAR Certification and MiFID II Annual Self-Assessment

  • Real-time monitoring of Citi’s algorithmic trading activities for signs of disorderly trading

  • Co-ordination of Manager Control Assessment 

Key Responsibilities of the Role:

  • Develop a controls inventory matrix and process flow/topology mappings in line with regulatory expectations.

  • Create Business-specific certification decks outlining scope of rule requirements and process to complete annual attestation.

  • Coordinate periodic controls review/limit calibration with E-Trading Businesses including documentation of limit values and utilization data to drive meaningful discussion.

  • Coordinate Market Access Rule related product level governance forums, working groups and committees.

  • Provide oversight and project management of key E-Trading initiatives and remediation of Markets enhancement projects for the NAM/LATAM region. BAU initiatives include the annual attestation/review of key E-Trading documentation by the Businesses. 

  • Perform Real-Time Monitoring (RTM) for the NAM/LATAM region, which involves monitoring and investigating relevant alerts from trading systems that could indicate signs of disorderly trading. For relevant alert triggers, escalate to management and Second Line where necessary.

  • Partner with E-Trading Businesses to validate understanding of controls environment.

  • Partner with Technology/Businesses to source/document controls testing evidence.

  • Develop and manage key relationships with the NAM/LATAM E-Trading Businesses, Technology, Risk and Compliance functions.

Development Value:

  • This role is part of a strategic drive to expand ETRC in the NAM/LATAM region and will be a great opportunity for the correctly motivated individual to get exposure to E-Trading Businesses within Citi and develop relationships with a variety of key stakeholders – Business, Technology, Risk and Compliance.

Knowledge, Experience & Skills

  • 5+ years relevant E-Trading experience preferably in a project or strategy related function (project management, business management/COO and consulting).

  • Excellent project management skills, with the ability to balance short-term and medium-term remedial action.

  • Experience with SEC 15c3-5 Market Access Rule and/or MIFID II ASA attestation processes.

  • Excellent communication skills, with the ability to influence senior stakeholders.

  • Product knowledge in at least one of the following asset classes is preferable – Equities, Rates, Global Spread Products.

  • Experience in drafting procedures and preparing presentations.

  • Knowledge of E-Trading regulation and guidance.

  • Tenacious hands-on problem solving skills.

  • Knowledge of Standard Development Lifecycle (SDLC) and E-Trading applications preferred.

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Job Family Group:

Risk Management

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Job Family:

Business Risk & Controls

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Time Type:

Full time

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Primary Location:

New York New York United States

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Primary Location Salary Range:

$120,710.00 - $181,070.00

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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.

Citigroup Inc. and its subsidiaries ("Citi”) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi.

View the "EEO is the Law" poster. View the EEO is the Law Supplement.

View the EEO Policy Statement.

View the Pay Transparency Posting

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Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.

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