Full-Time

Sr. Lead

Ediscovery Compliance & Data Controller, Hybrid

Posted on 10/30/2024

Citigroup

Citigroup

10,001+ employees

Global financial services and banking solutions

Fintech
Financial Services

Compensation Overview

$163.6k - $245.4kAnnually

+ Incentive Awards + Retention Awards

Senior

New York, NY, USA

Hybrid position.

Category
Legal
Risk & Compliance
Legal & Compliance
Required Skills
Data Analysis
Requirements
  • 10+ years of relevant industry experience, preferably with some experience working in an in-house legal role within financial services
  • Proven ability to manage complex documentation with organization and detail
  • Must possess excellent interpersonal and project management skills, as well as the ability to interact and communicate effectively with Senior management
  • Knowledge of legal customs and practices
  • Knowledge and understanding of the financial services industry
  • Bachelors/University degree, Master’s degree preferred
  • Proven leadership experience in overseeing complex data environments, including experience with controls, monitoring, and quality assurance functions
  • Deep understanding of data retrieval process, chain-of-custody standards, cross-border data controls, and data segregation standards
  • Strong understanding and experience with regulatory data archive data systems such as SMARSH, ZL Tech, Global Relay, and Bloomberg Vault
  • Experience communicating, escalating, addressing, and reporting on data quality issues
  • Proven ability to collaborate effectively across multiple internal and external teams to resolve issues
  • Must possess the ability to work with confidential information with the appropriate care and discretion
  • Experience managing and onboarding third-party vendors, ensuring information security standards, model risk management, and financial risk obligations are addressed.
Responsibilities
  • Responsible for legal support activities related to legal operations, litigation/discovery/settlements or negotiation and contract administration
  • Collaborates across control/support functions, lines of business and the legal team on programs, projects and matters of common interest to achieve coordinated and efficient process improvements and legal support solutions
  • Participates in planning and development initiatives; contributes to business objectives by providing thought leadership using institutional knowledge and knowledge of industry, laws, and regulations
  • Serves as subject matter expert to global partners, key stakeholders and senior legal managers, by managing day-to-day legal support activities, providing advisory services and thought leadership, escalating as appropriate
  • Applies comprehensive understanding of concepts and procedures within Legal and basic knowledge of other areas to resolve complex legal issues and transactions, ensuring quality, efficiency and consistency, escalating where appropriate
  • Represents the supported area or function in meetings and committees, globally and/or regionally with visibility to senior leadership
  • Manages team templates/procedure memos/policies and functions as the first line of inquiry for questions regarding content
  • May be responsible for mentoring and training junior members of the team
  • 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.
  • Lead the execution of data control frameworks, ensuring data collection, processing, and distribution meet discovery, regulatory, and business requirements
  • Mitigate risks associated with data handling by reviewing and monitoring ediscovery processes to ensure effective access controls, compliance with cross-border data transfer policies, and adherence to Citi Data Protection Standards
  • Monitor and manage the quality of data throughout its eDiscovery lifecycle, implementing real-time controls and checkpoints for accuracy and consistency
  • Develop and implement metrics and reporting tools to track compliance with data controls and risk management framework, ensuring timely identification of gaps, opportunities for improvement, and effectiveness of controls
  • Engage and collaborate with various operations, cyber, and risk management teams to ensure eDRMO is current and adhering to new data management rules and has the right controls and monitoring in place to meet risk requirements
  • Serve as the primary point of contact for Technology, Risk, Legal, and Third-Party Management teams on data-related issues, including addressing data gaps and quality concerns, managing incidents such as cyber breaches, and assisting with responding to compliance and regulatory questions related to electronic discovery processes and regulatory archive data retention
  • Advise on the integration of new and emerging electronic communications platforms into the regulatory archiving vault, develop standards and protocols, design sanity-checks, and provide feedback technology teams regarding electronic discovery retrieval and production standards
  • Oversee third-party risk management and business continuity planning to ensure that external vendors meet data protection standards and that critical data operations can continue without interruption during unforeseen events
  • Appropriately assess risk when business decisions are made, driving compliance with applicable laws, rules, and regulations, adhering to policy, escalating, managing, and reporting control issues with transparency.

Citigroup provides a variety of financial services to individuals, businesses, and governments around the world. Its offerings include consumer banking, credit, corporate and investment banking, securities brokerage, and wealth management. The company operates in over 160 countries, allowing it to facilitate cross-border transactions and serve a diverse clientele. Citigroup's products work by leveraging its extensive global network and technology to provide efficient banking solutions, generating revenue through interest on loans, service fees, trading, and investment management. What sets Citigroup apart from its competitors is its strong focus on sustainability and social responsibility, demonstrated through its investments in environmental, social, and governance (ESG) initiatives. The company's goal is to create a positive financial and social impact while achieving growth and profitability.

Company Stage

IPO

Total Funding

$59.8M

Headquarters

New York City, New York

Founded

1812

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Simplify's Take

What believers are saying

  • Citi's investment in Pylon enhances access to institutional-grade mortgage products.
  • The rise of DeFi platforms offers Citi opportunities for innovative financial products.
  • Increased focus on digital banking can enhance Citi's customer experience and efficiency.

What critics are saying

  • Increased competition from fintechs like Capitolis may erode Citi's market share.
  • Investment in Pylon exposes Citi to mortgage market volatility risks.

What makes Citigroup unique

  • Citi operates in over 160 countries, offering a vast global financial network.
  • The company integrates technological innovations to deliver seamless banking solutions.
  • Citi's commitment to ESG initiatives sets it apart in sustainable finance.

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