Technology Regulatory Exam Management Officer

The Technology & Business Enablement (TBE) Chief Operating Office (TBE COO) is a driving factor in delivering value to our organization, businesses, regulators, and stakeholders.  With responsibility for Control, Tech Business Execution, Tech Quality Assurance, Tech Data Transformation, Tech Regulatory Management and Governance, and the Tech Analytics and Decision Management, the TBE COO enables the organization to execute on the TBE Vision and Strategy.

The Technology Regulatory & Exam Management Senior Officer (C14, SVP) will report to the Technology Regulatory Management Senior Lead and will be instrumental in establishing and implementing the Tech Regulatory Management strategy and execution, regulatory exam management and oversight, regulatory governance, and quality control processes within EMEA and the UK. This role will primarily focus on supporting Technology in EMEA and the UK, as well as globally, to act as the coordination point for regulatory engagement and regulatory management of examination and ongoing supervisory activities. The individual will be responsible to support the coordination of examinations, requests, and meetings with regulatory agencies as well as participating on special regulatory projects.

Responsibilities Include:

Strategic Advisory

• Actively engage with Technology partners regarding regulatory interaction activities across primarily EMEA and the UK to drive consistency and excellence in execution of regulatory deliverables
• Attend relevant line of business governance forums for assigned coverage areas to cultivate SME familiarity of key business-as-usual and transformation activities while providing guidance on regulatory expectations

Exam Management

• Coordinate Technology regulatory interaction activities to ensure consistency and excellence in execution of regulatory deliverables
• Drive the regulatory examination process as a lead or support contact/central point of communication with regulators for examinations and requests – schedule, objectives, etc. Support the definition and communication strategies for regulatory exam management in order to meet Citi’s legal, regulatory and compliance requirements
• Oversee regulatory preparatory activities and provide feedback to management and the team regarding deliverable request and meeting materials
• Provide coaching to the management and team in advance of regulatory exam meetings to ensure consistency, applicability of the message and the materials meet regulatory request/expectations
• Lead the collection, review and delivery of all deliverables and follow-up requests required for successful completion of the examination process
• Anticipate questions and/or concerns that may arise during the examination, be able to ‘connect-the-dots’ and be able to communicate the ‘big picture’ to both the internal team and the regulators
• Responsible for communicating exam status and updates to Senior Management and the team 
• Drive the coordination, development and review regulatory examinations draft responses (as required)
• Utilize strong analytical skills to evaluate controls, identify control issues, review project plans and corrective actions to identify missing milestones and tasks.
• Analyze regulatory requirements and help define and/or validate the controls that address these requirements
• Review relevant regulatory publications and guidelines to determine possible impact on Technology controls and form a view on regulatory expectation to be communicated to senior management
• Provide regional reporting to Senior Management on regulatory focus areas, themes and trends and items for escalation
• Ensure appropriate update on Tech regulatory landscape and escalation of relevant issues at Senior Management Governance committees

Ongoing Supervisory Activities

• Lead the engagement / attendance at all ongoing Supervisory / Management meetings
• Ability to readily “connect -the-dots” from all regulatory interactions, both exams and meetings and actively apprise management of common themes and new areas of focus
• Actively participate in periodic briefing / debriefing with other regulatory contacts across Citi to share regulatory points of view
• Coordinate the development and review of required quarterly regulatory status updates
• Monitor status of Regulatory Issue Corrective Action as well as review and provide feedback on evidentiary materials in support of regulatory issue closure

Governance Activities:

• Actively help drive the management reporting on regulatory focus areas
• Ensure all relevant repositories reflect the current status for examination and ongoing supervisory activities, highlighting themes, trends, and items for escalation  

Qualifications:

• Strong relevant experience
• Experience working in technology risk and / or control functions (such as internal audit) within a financial services organization
• Experience working with external regulators or Internal Audit within a financial services organization
• Demonstrated leadership and adaptability when facing unique challenges of a dynamic organization
• Strong interpersonal skills, including the ability to partner with others and deal effectively with multiple projects and changing priorities
• Strong analytical and problem-solving skills with excellent follow-up and strong attention to detail
• Exemplary written and oral communication skills required, ability to succinctly synthesize key messages and themes
• Experience and ease in interfacing with Senior Management preferred.
• Excellent influencing and negotiation skills and ability to work effectively with all levels of the organization as well as geographically disbursed/matrix teams
• Proven ability to work independently in a fast-paced multi-tasking environment

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Job Family Group:

Compliance and Control

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Job Family:

Regulatory Liaison & Exam Management

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Time Type:

Full time

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