ICG Risk & Controls - Americas Conduct & Controls Officer - VP

Overview:

At Citi, the Institutional Clients Group (ICG) is scaled to serve multi-national companies, emerging market leaders, governments, and investors that rely on its unique global network, insights, and local market expertise to meet their banking needs. This role is part of the ICG Risk & Control team working with ICG’s businesses and Second Line functions to support the Regional ICG Head of Conduct & Compliance in managing Compliance and Conduct risk across ICG business lines in the Americas as well as global initiatives.

The role will primarily contribute to the effective design, deployment, and oversight of compliance and conduct risk frameworks and require strong knowledge of wholesale banking products and client outcomes to identify, manage, and report on compliance and conduct risks. In particular, the role will lead and support compliance and conduct risk management activities owned by business and functional teams in line with relevant risk management objectives and promote the sharing of best practices/lessons learned. The successful candidate will be forward-thinking, accountable, resilient, and open to different ideas and cultures.

Key Responsibilities:

• Support the design and implementation of key compliance and conduct risk management activities, particularly around risk and control assessments, metrics, and governance & reporting.
• Partner with relevant colleagues across ICG Risk & Control, In-Business Risk & Control, and Independent Risk/Compliance teams in the identification, mitigation, and analysis of key compliance and conduct risks. This includes leading and/or participating in Working Groups, deep dive reviews, and relevant governance fora across business as usual and transformation activities.  
• Support the simplification of policies, processes, procedures, systems, and training.  
• Contribute to the development and periodic refresh of global metrics/key indicators relating to ICG’s conduct and compliance risk profile and evaluate metrics against strategic objectives and risk appetite/tolerance. Where applicable, develop recommended actions to promote good behaviors and mitigate material risks.  
• Perform thematic reviews across ICG businesses and constructively challenge the control environment. Drive accountability when minimum standards are not met.   
• Conduct in-depth quantitative and/or qualitative analysis to solve problems and think beyond existing solutions and assumptions.
• Monitor and track key external events and material changes to regulations or industry standards with a view for potential read-across, lessons learned, or general awareness opportunities.  
• Support internal reviews and external exams, as needed.
• Promote a continuous improvement and innovative mindset while proactively engaging key stakeholders and building trusted relationships.
• Promote a speak-up culture across ICG businesses and role model inclusive behaviors.

Skills & Experience:

• Broad understanding of Investment Banking and wholesale products and services.

• Strong understanding of compliance and conduct risks as well as broader risk management practices with respect to Financial Services.
• Capacity to process high volumes of complex information and synthesize key themes, issues, and actions with the ability to tailor output for varying audiences.
• Strong relationship management, project management, and communication/presentation skills with the ability to negotiate and influence across networks of matrixed stakeholders.
• Demonstrated resilience and ability to deliver with pace while balancing competing priorities.
• Pragmatic problem-solver with ability to identify and remediate root causes.
• Strategic thinker who can connect the dots between data, people, clients, and target outcomes.
• Previous experience supporting a region and multiple sites (preferred but not required)

Qualifications:

• Bachelor’s/University Degree and at least 6-8 years of industry experience.

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