Business Execution and Risk Control - Equity Brokerage

The Business Execution and Control role is a senior level position responsible for the overall Business Execution and In-Business Risk Management of Equity Brokerage Business (EQB).

Working as part of the Equity Brokerage team, this role supports Equity Sales and Execution in Agency Activities to ensure successful delivery of strategic initiatives, compliance with local regulations and Citigroup requirements, as well as a strong governance and control framework maintained.

As such this role not only requires an understanding of the Equity business, but also needs regulatory and control knowledge to identify and mitigate risks for the business by working with support functions such as Legal, Risk, Finance, Operations, Technology and Compliance.

Responsibilities:

• Work with Equity Brokerage Head to drive strategic initiatives related to risk, people, capital and coordinate across product groups, regions, sectors and functional partners.
• Lead and coordinate the implementation of New Product capabilities from planning to execution and ensure compliance of Reg/Citi requirements.
• Drive the Business Requirements Documentation (BRD) for new business or change requirements.
• Partner with Product and Tech to build out of Electronic Trading capabilities.
• Lead the implementation of program trading, trading controls etc.
• Manage risk and control assessments in line with Electronic trading (E-trading) standards, and compliance with laws, rules, and regulations.
• Work with front-to-back partners to streamline processes and build consistent policies and procedures with considerations of local rules and regulations as well as Citi Standards.
• Drive efficiency / productivity initiatives in partnership with the senior management team and other functional partners.
• Act as the business contact for regulatory authority and compliance department and actively track and implement business related Reg/Group compliance requirements.
• Drive compliance with laws, rules, regulations, and policy, apply ethical judgment, and manage control issues with transparency.
• Implement risk strategies and monitor the controls’ effectiveness regularly.
• Takes accountability for escalating, identifying, and managing potential risk; implements controls that enhance the client experience and operational effectiveness.
• Anticipates problems and proactively identifies solutions that address the root causes and result in meaningful improvements.

Recommended Qualifications:

• 10+ years of experience in financial industry.
• Demonstrated working knowledge of business management, risk and control, technology experience or knowledge is preferred.
• Have Equities’ product knowledge and Strong front to back understanding of trades and booking flows.
• Proven experience successfully driving day-to-day execution and strategic projects across a large matrixed organization.

• Highly self-driven, ability to independently own work and operate with a limited level of direct supervision.
• Excellent communication skills for internal negotiations and some external communications.

• Proficiency in managing compliance policies, driving compliance with laws and managing control issues.
• Experience in assessing risks and evaluating controls in collaboration with various teams.
• Proven ability to design and lead projects to enhance processes.

Education:

• Bachelor’s Degree/University degree or equivalent experience, Master’s degree preferred
• Technology degree is preferred.

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Job Family Group:

Business Strategy, Management & Administration

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Job Family:

Business Execution & Administration

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Time Type:

Full time

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Most Relevant Skills

Please see the requirements listed above.

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Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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