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Eo&t Regulatory Engagement Officer
4 months ago
The Enterprise Operations & Technology (EO&T) Chief Administrative Office (CAO) is a driving factor in delivering value to our organization, our businesses, regulators, and stakeholders. With responsibility for Risk and Control, Quality Assurance, Transformation, O&T Regulatory Engagement and the O&T Chief Data Office, the EO&T CAO enables the organization to execute on O&T’s Vision and Strategy
The EO&T Regulatory Engagement Officer will report to the Regulatory Engagement Lead and will be instrumental in implementing the O&T regulatory engagement strategy, O&T regulatory exam management and oversight, and O&T regulatory governance and quality control processes within the region. This role primarily covers EMEA EO&T and Institutional Clients Group (ICG) Technology areas, to acts as the coordination point for all regulatory examination management 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**:
Exam Management
- _ Drive the regulatory examination process as a lead or support 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_
- _ If required, responsible for the coordination, development and review regulatory examinations draft responses_
- _ 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 O&T controls and form a view on regulatory expectation to be communicated to senior management._
Ongoing Supervisory Activities
- _ Lead the engagement / attendance at ongoing Supervisory / Management meetings, where applicable_
- _ Ability to “connect the dots” from all regulatory interactions, both exams and meetings and apprise management of common themes and new areas of focus_
- _ Participation 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_
- _ Analyze regulatory requirements and help define and/or validate the controls that address these requirements_
**Qualifications**:
- Significant experience working in operations or technology risk and / or control functions (such as internal audit) within a financial services organization and interactions/engagement with regulators and/or experience working for a regulator
- Experience in MS Office 365 Suite and SharePoint preferred.
- Strong interpersonal skills, including the ability to partner with others and deal effectively with multiple projects and changing priorities
- Demonstrated ability to lead global team efforts, and influencing skills required
- Excellent problem solving skills ability to see the big pictures with high attention to details
- Demonstrated ability to develop and implement strategy and process improvement initiatives.
**Education**:
- Bachelor’s/University degree or equivalent experience, potentially Masters degree
- **Job Family Group**:
Risk Management
- **Job Family**:
Business Risk & Controls
- **Time Type**:
Full time
- Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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