Regulatory Engagement Lead for The Eo&t Icg

hace 2 semanas

San Francisco, Heredia, Costa Rica Citi A tiempo completo

The EO&T Chief Administrative Office (EO&T 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 Lead will report to the Regulatory Engagement Senior Lead and will be instrumental in establishing and implementing the O&T regulatory engagement strategy and execution, O&T regulatory exam management and oversight, and O&T regulatory governance and quality control processes within the region.

This role covers LATAM, with a focus on supporting the Institutional Clients Group (ICG) Technology area, to act 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 Include:

Strategic Advisory

  • Actively engage with ICG Technology partners regarding regulatory interaction activities across LATAM 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 businessasusual and transformation activities while providing guidance on regulatory expectations
Exam Management

  • Coordinate ICG Technology regulatory interaction activities across LATAM 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 followup requests required for successful completion of the examination process
  • Anticipate questions and/or concerns that may arise during the examination, be able to 'connectthedots' 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
  • Provide regional reporting to Senior Management on regulatory focus areas, themes and trends and items for escalation
  • As a member of Senior Management Governance committees, ensure appropriate update on O&T regulatory landscape is shared and appropriate escalation of relevant issues
Ongoing Supervisory Activities

  • Lead the engagement / attendance at all ongoing Supervisory / Management meetings
  • Ability to "connect thedots" 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:

  • Bachelor's/University degree finished. Master's is a plus
  • Advanced English level
  • 10+ years of relevant experience related to regulators / audit / control
years' experience working in operations and/ or technology risk and / or control functions (such as internal audit) within a financial services organization
years' experience working with external regulators or Internal Audit within a financial services organization

  • Demonstrated leadership and adaptability when facing unique challenges of a

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