Regulatory Governance and Issue Management

3 weeks ago

Belfast, United Kingdom Citi Full time

**Citi Overview**:
Citi is a world-leading global bank. We have approximately 200 million customer accounts and a presence in more than 160 countries and jurisdictions worldwide. We provide consumers, corporations, governments, and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. We enable clients to achieve their strategic financial objectives by providing them with cutting-edge ideas, best-in-class products and solutions, and unparalleled access to capital and liquidity.

Citi Belfast is one of the largest employers in Northern Ireland with a diverse and talented team of over 3000 people from over 40 different nationalities across our four Belfast offices.

We are the only global investment bank operating in Northern Ireland. Every day, our local experts interact with global teams in over 100 countries developing and supporting next-generation technology solutions for the enterprise and delivering critical services to the bank and its customers, to make sure we are a stronger and safer organization for our clients.

**Markets Operations Belfast Overview**:
Our Operations groups are core to the success of the Markets business. We support a wide range of internal stakeholders including Front Office Sales and Trading Desks, Compliance, Legal, Finance and HR; alongside having significant interaction with external clients, playing a key role in the overall client experience.

A role within Markets Operations means that you will have a truly global reach, in a supportive environment which will provide you with new experiences and development opportunities right here in Belfast’s iconic Titanic Quarter.

You can play an important part in transforming and simplifying our operating model, creating an exciting environment which encourages diversity of thought and inclusion within an organisation that authentically values and invests in its people.

**Team Overview**:
Markets Operations Regulatory & Legal Entity Control is a newly created centralized team responsible for oversight of regulatory functions. The vision is to implement a best-in-class regulatory control framework focused on risk reduction, process improvement, ensuring consistency and transparency of all regulatory matters impacting Global Markets Operations.

The target operating model consists of 4 key components:

- Regulatory Quality Assurance (QA) - Proactive execution of risk-based QA reviews to identify gaps and partner with the Market Operations teams to remediate any identified gaps.
- BAU Regulatory Control - Monitoring of regulatory control exceptions and partnering with the relevant stakeholders to identify and remediate root causes at source.
- Regulatory Change Management - Drive and implement various regulatory change and remediation programs for Market Operations; execute a robust change management framework to allow for the regulatory impact of operational and technology changes to be adequately assessed.
- Regulatory & Legal Entity Governance - Oversee all aspects of regulatory and legal entity governance including but not limited to issue management, regulatory interactions, and the implementation of adequate governance forums to drive accountability and transparency.

**Job Purpose**:
Specifics of the role include:

- Execute assurance reviews for identified gaps in regulatory processes
- Review outstanding actions for regulatory rule mapping across relevant assessment units
- Co-ordinate and run new regulations impact assessments
- Prepare and publish themes and lessons learnt from quarterly risk assessments and issue management assurance reviews
- Carry out reporting responsibilities for Regulatory Quality Assurance (progress updates, periodic reporting for different forums
- Liaise with the SMEs to agree on required remediation, monitor completion of actions and adequacy of remediation to mitigate the identified risk
- Aid adoption of regulatory framework governance across teams in Market Operations

The role provides a range of opportunities in the implementation of our strategic transformation priorities including:

- Implementing best practices and global consistency, simplifying & standardizing processes, and flows.
- Opportunity to learn and acquire expertise across a range of products and asset classes.
- Significant interaction with a wide range of stakeholder groups and senior management to help drive the agenda.

**Key Responsibilities**:

- Maintain a culture and environment where processes, risks and controls are continually monitored, and potential risks escalated on a timely basis.
- Drive standardization of controls across regions and suggest opportunities for harmonisation across teams.
- Implement plans and execute vs milestones ensuring we meet deadlines and regulatory commitments.
- Ensure our infrastructure and tools meet the needs to manage risk. Develo

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