Securities Services Product Regulatory Compliance – Senior Vice President in London, United Kingdom

Serves as a senior product compliance risk officer for Securities Services Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm’s risk appetite and protect the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviours, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures.

Responsibilities:

• Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi’s clients, Services products and geographies in a succinct and clear manner; provide direction and guidance on the programs.

• Several years of experience working within UK/EU Wholesale banking products including Custody, Fund Services, Issuer Services, Securities Lending and Digital platforms.

• Support Compliance Head in establishing, maintaining, and delivering a cross product UK Regulatory compliance governance and oversight program.

• On a regular basis, produce high quality PowerPoint slides, presentations, data analytics reports with ability to present and challenge heads of the business.

• Ability to independently assess, challenge and guide business on current and new regulations in the UK and EU, analysing and scoping the impact of new and complex regulatory developments, including enforcement actions, across senior function/business/product, including cross-border impact.

• Create and monitor alerts to capture risk events, alerts, issues and escalate appropriately, with critical information and in a timely manner. Aware and able to apply and challenge Individual Conduct Rules.

• Leading initiatives and managing high-impact special project work streams and control reviews with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements.

• Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.

• Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance.

Qualifications:

• Has a working knowledge of UK regulations that impact Wholesale Products with a specific focus on requirements of the Senior Managers and Certification Regime (SMCR), FCA Handbook and Client Asset rules.

• Expertise of UK/EU Compliance laws, rules, regulations, risks, and typologies beneficial to have awareness of wider regulatory requirements including local and US laws, international and industry standard

• Excellent governance, presentation, written, verbal and analytical skills.

• Must be a self-starter, flexible, innovative and adaptive, highly motivated, strong attention to detail, team oriented, organized

• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging

• Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level

• Experience in managing regulatory exams and relationships with examiners, auditors, etc.

Education:

• Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus; strong working knowledge of function/business/product and the related operations and financial requirements; previous experience managing a diverse staff; Advanced degree a plus

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Job Family Group:

Compliance and Control

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Job Family:

Product Compliance Risk Management

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Time Type:

Full time

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