Branch Controls Testing Leader (Branch Experience Needed) - C14 - SAN FRANCISCO/OFALLON/FLORENCE/JACKSONVILLE

Job Description

Individuals in Quality Assurance, Monitoring & Testing are responsible for the assessment of outcomes from activities and processes against conformance with applicable requirements to strengthen risk management quality such as quality testing performed for business function quality control and transformation lead quality control post completion of an activity/process. This includes the development and execution of Monitoring and Testing for controls, such as control design assessment, design of operational effectiveness for monitoring & testing tools, monitoring/testing design assessment, and execution of monitoring/testing tools to assess the effectiveness of key controls designed to address defined risks.

This position reports to the Enterprise Branch & Legacy Franchises Controls Testing Head, within the USPB-Wealth-Common Control Testing Utility; and is a strategic- and execution-oriented individual contributor position accountable for end-to-end branch controls testing – i.e., operational controls performance assurance/testing – which includes design, execution, results reporting, and insight sharing related to the above scope of controls monitoring/testing.

The Branch Controls Testing Leader is a subject matter expert on overall controls testing, with breadth and depth on control testing who closely follows latest trends in controls assessment and testing and adapts them for application within own job and covered businesses and functions and often will be in touch with senior managers at Director or Managing Director levels.

Excellent communication skills required to negotiate internally, often at a senior level. Developed communication and diplomacy skills are required to guide, influence and convince others, particularly colleagues in other areas and occasional external customers. Accountable for significant controls testing results and advice regarding the controls execution. Necessitates a degree of responsibility over technical strategy.

Responsibilities: 

• Responsible for the quality, completeness, and accuracy of the implementation of the Control Framework, including Risk Control Policy, Control Standard, Issue Management
• Supports the Enterprise Branch & Legacy Controls Testing Utility by assessing control design, designing testing tools, developing testing procedures, ensure testing transitions, dispositioning exceptions, and developing insights.
• Policy, Lesson Learned Policy and Control Inventory
• Lead the assessment of activities and processes as per required Policies, Standards and Procedures to strengthen risk management quality
• Conduct routine testing of internal activities and processes to ensure adherence to established quality standards and identify areas of risk or non-compliance
• Carries key responsibility for Control Design Assessment (CDA) by executing CDA checklist/procedures for controls and recording results in Citi Risk & Control (CRC).
• Owns significant portions of testing design activity, which includes writing testing tool descriptions, and completing testing and QUEST setup.
• Develops testing procedures in Confluence and is responsible for obtaining necessary signoffs from covered businesses and functions.
• Trains the Central Execution team on all in-scope testing tools and established testing procedures.
• Has the ultimate decision on controls testing outlier disputes, holds the responsibility to raise concerns via IMPACT Concerns or QUEST Observation Log based on the Business.
• Review stakeholder/client feedback and respond to any quality assurance complaints or issues in a timely and efficient manner
• Support quality testing performed for business function quality control and transformation lead quality control post completion of an activity/process
• Drive assessment of activities and processes as per required Policies, Standards and Procedures to strengthen risk management quality.
• Conduct routine testing of internal activities and processes to ensure adherence to established quality standards and identify areas of risk or non-compliance.
• Integrate stakeholder/client feedback and respond to any quality assurance complaints or issues in a timely and efficient manner.
• Oversee quality testing performed for business function quality control and transformation lead quality control post completion of an activity/process.
• Develop and execute Monitoring and Testing for controls, including control design assessment and design of operational effectiveness for monitoring & testing tools, monitoring/testing design assessment, and execution of monitoring/testing tool.
• Regularly report on quality control outcomes and control effectiveness to top management and relevant stakeholders.
• Proficient knowledge of regulatory guidance specific to quality assurance and monitoring/testing lifecycle.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of teams and create accountability with those who fail to maintain these standards

Qualifications: 

• 10+ years of experience in operational risk management, compliance, audit, or other control-related functions in the financial services industry.
• 5+ years in Branch Operations or Branch Support leadership roles
• Expert-level understanding of MCA (Managers Control Assessment) frameworks and processes.
• Ability to identify, measure, and manage key risks and controls.
• Track record leading Control related projects and programs
• Ability to see the big pictures with high attention to critical details.
• Develop and implement strategy and process improvement initiatives.
• Comprehensive knowledge of Citi’s businesses and functions and their risk profiles.
• Developing new ideas and improving current processes to proactively mitigate risks.
• Requires an ability to provide challenge and make recommendation for risk and controls remediation.
• Expert knowledge in the development and execution for controls.
• Proven experience in control related functions in the financial industry.
• Proven experience in implementing sustainable solutions and improving processes.
• Expert understanding of compliance laws, rules, regulations, and best practices.
• Deep understanding of Citi’s Policies, Standards, and Procedures.
• Strong leadership, decision-making, and problem-solving skills.
• Strong analytical skills to evaluate complex risk and control activities and processes.
• Ability to deliver compelling presentations and influence executive audiences.
• Strong sense of accountability and ownership, with strong results orientation.
• Excellent communication skills; ability to engage and inspire across stakeholder groups.
• Exceptional command in Microsoft Office suite, particularly Excel, PowerPoint, and Word.

Education: 

Bachelor's/University degree, Master's degree preferred

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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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