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Regulatory Reporting & Controls Sr Analyst - AVP

Job Req ID 22452384 Location(s) Tampa, Florida; Getzville, New York Job Category Risk Management
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Team/Function Overview:

The Operations Regulatory Control group is a centralized unit within ICG Operations that is responsible for the implementation and oversight of regulatory reporting, including exception management and risk mitigation across swap dealer reporting. The group is responsible for:

  • Implementation of new regulatory reporting initiatives and enhancements
  • Control and exception management on swap dealer reports
  • Industry level advocacy across multiple trade associations
  • Partnering across Markets to remediate regulatory issues

Role / Position Overview:

  • Oversee and ensure the day-to-day delivery of complete, accurate and timely reporting as defined by regulation and industry practice
  • Manage and oversee BAU processes for NAM Regulatory Reporting, ensuring all reporting is completed accurately and on time
  • Monitor daily reporting controls; identify and provide transparency into reporting issues whilst working with key stakeholders across the business and technology to remediate any gaps
  • Act as point of contact for NAM regulations, including: CFTC, CAD, and SEC Trade Reporting
  • Ensure ORC’s procedures and controls adhere to Citi’s Global Risk & Control as well as Global Regulatory Reporting policies
  • Conduct data analysis on large data sets to identify root causes of complex issues
  • Work closely with colleagues from Operations & Technology, Compliance, Legal, Risk & Control and business unit managers to ensure transparent and aligned objectives
  • Support in addressing questions arising from regulators, compliance assurance and internal audit
  • Work with the global team lead and reporting peers in the development and execution of a global book of work delivering new regulatory requirements, higher productivity stronger controls and insightful metrics
  • Drive change process by advocating for process improvements of existing processes to reduce manual touch points and increase efficacy and accuracy
  • Create, manage and present project documents (e.g. business requirements, status updates, …); risk & control updates and issue/event summaries to related stakeholders
  • Represent Citi in major industry forums; monitor publications from trade associations and regulators to ensure Citi remains complaints with the regulations

Candidate Requirements:

  • Knowledge of at least of the following regulatory reporting regimes: CFTC, CAD, and /or SEC Trade Reporting
  • 3+ years of previous financial services experience, within: regulatory reporting / capital markets middle office / OTC derivative products
  • Demonstrated  experience in the successful implementation of  projects, operational process change and improvement, preferably within capital markets operations
  • Exposure to SQL/VBA (advanced Excel) is an advantage
  • Experience in collecting, defining and documenting business and technology requirements, test plans and other project management artefacts
  •  Experienced in consulting with project stakeholders, including the skills to facilitate compromises and resolve conflicting requirements.
  • Self-motivated, detail oriented well organized with strong verbal and written communication skills
  • Working knowledge of related industry practices and standards, and experience in large scale implementations
  • Experience in working across technology and business projects and managing inter-dependencies between the two
  • Proven problem-solving and decision-making skills
  • Pro-active, resilient and tenacious
  • Ability to create and deliver presentations to senior levels of management
  • Ability to work under pressure and manage to tight deadlines or unexpected changes in expectations or requirements


Job Family Group:

Risk Management


Job Family:

Operational Risk


Time Type:

Full time


Primary Location:

Tampa Florida United States


Primary Location Salary Range:

$73,570.00 - $110,350.00


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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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