Regulatory QA Specialist

2 weeks ago

London, United Kingdom eFinancialCareers Full time

**Organization Overview**:
Citi Markets Operations is currently at a pivotal point in its evolution and journey to implement a target operating model. We take pride and are passionate about our People and our culture. We are invested in people and their development. We are transformingand simplifying our operating model creating an exciting environment which encourages diversity of thought and inclusion.
We are a dynamic, global and diverse organisation, with a presence in over 60 Countries; covering all post execution Operations teams including product aligned Middle Office groups, Settlements, Margin, Asset Servicing, Listed Derivative & Commodities Operations.We support an extensive range of Capital Markets products and services including Fixed Income (FX, Rates, Credit, Muni, Cash and Derivatives) where Citi is consistently a dominant top 3 player in the market, Equity (Cash, Derivatives, Prime Brokerage, Futures,Listed Derivs, FXPB) where Citi has a significant growth program to continue to build out its capabilities and services; and Syndicates where we support both FI and EQ new issues and IPOs.
Our Operations groups are core to the success of the Markets business and has significant impact across the lifecycle of a Trade. We partner extensively with a range of internal stakeholders including Front Office Sales and Trading Desks, Compliance, Legal,Finance and HR; alongside having significant interaction with our external client base, playing a key role in the overall client experience. We have a Client relationship group dedicated to overseeing the group service performance and strategic partnershipfor our top tier client base, where we play a key role in supporting our global clients to ensure they have a first class experience when doing business with Citi.
Our Digitization and Implementation group works alongside our Operations teams delivering automation solutions to solve for operational challenges. We partner with Citi's innovation labs to drive optimization and overall play a pivotal role in enabling us totransform to achieve our target operating model.
Our roles entail ensuring we operate in a robust control environment, whilst in a fast-paced workplace. We comply with global regulations and internal policies and adopt a proactive approach to identifying opportunities to reduce risk through the continuousevaluation of our controls; to protect our clients, the firm and our reputation.
We work closely with our external global peers, partners and regulators, and play an integral part in leading an agenda at the forefront to optimise and streamline processes, and drive strategy across our industry.
**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 adequatelyassessed
- 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 andtransparency

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

- Create and execute a forward-looking QA plan based on relative risk assessment
- Execute test programs including but not limited to walkthroughs, review of control design and effectiveness and documentation review
- Partner with 1st and 2nd lines of defence to document the interpretation of rules and regulations, review the control framework and conduct a gap analysis relative to current state
- Liaise with the SMEs to agree on required remediation, monitor completion of actions and adequacy of remediation to mitigate the identified risk
- Perform a read across to ensure enhancements are implemented across all applicable teams/regions
- Participate in senior regulatory governance forums as required
- Identify opportunities to streamline and re-align processes to ensure an optimal organizational structure for best-in-class risk management of regulatory functions
The role provides a range of opportunities to impact and influence the overall target state design and implementation of our strategic transformation priorities including:

- Strategically position the Operations organization by helping to formulate the future vision of our operating model
- 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
- Empowerment to make decisions and drive a strategy
- Significant interaction with a wide range of stakeholder groups and senior management to help drive the agenda

**Key Responsibilities**:
**Organizational Oversight**:Lead daily core operations maintaining a culture and environment where processes, risks and cont

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