Markets Operations Regulatory QA Specialist

1 month 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 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
- 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:

- 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**:
**Organizational Oversight**:

- Maintain a culture and environment where processes, risks and controls are continually monitored, and potential risks escalated on a timely basis
- Developing an effective control framework that fully meets Audit, Compliance and Regulatory requirements;

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