ICG Regulatory Engagement Manager - Senior Vice President (Hybrid)

Serves as a senior regulatory engagement manager for Citi’s Institutional Clients Group (ICG) business, responsible for the promotion, support, monitoring and reporting on Citi’s interactions with its Securities regulators.

Key Activities include:

• Coordinating interactions with regulators and internal stakeholder, including but not limited to: assisting in providing oversight for supervisory engagement; coordinating and managing events related to examinations and continuous monitoring, including working with businesses and functions in negotiating scope and timing of reviews, monitoring requested data aggregation and coordinating and attending regulatory meetings with control functions and business unit personnel; and collaborating with Business Heads to provide guidance on regulatory matters and continually enhancing the framework to identify, assess, control, and monitor regulatory communication.
• Leading and mentoring team members through exam and interaction process by providing expertise on how to best engage with the regulators as well as insight into Markets products.
• Providing regular updates to management (including preparing business personnel for meetings with regulators) regarding the matters being handled, including, but not limited to, collection, tracking and resolution of queries, review with the area under examination the materials requested to ensure completeness and responsiveness of submissions, and the timely escalation and resolution of potential issues.
• Communicating extensively (orally and in writing) and developing effective relationships with regulators.
• Establishing and developing effective relationships with Citigroup senior management, front line, second line (including independent risk, finance, HR, and Legal), Internal Audit to obtain information / documentation to respond to regulatory requests proactively and on time with quality.
• Analyzing, digesting and summarizing information/documentation responsive to regulatory requests.
• Identifying mitigating facts and circumstances (as applicable) to respond to potential issues identified during regulatory engagement, including the various stages of the exam management lifecycle.
• Monitoring the full lifecycle of identified regulatory issues ensuring that concerns are communicated, assigned responsibility, and tracked to resolution.
• Maintaining the centralized repository where documents are stored and previous regulatory and supervisory findings, reports and similar documents.
• Stewarding the drafting of the firm’s Response Letters and coordinating involvement of relevant internal stakeholders such as Technology and Internal Audit on the development of Corrective Action Plans and associated target dates.
• Additional duties as assigned.

• Minimum eight (8) years of relevant experience
• Deep knowledge of the regulatory engagement process with SEC, FINRA, CFTC and NFA
• Experience leading teams of direct reports and indirect stakeholders
• Knowledge of securities laws, rules, regulations, risks and controls
• Experience with or previous exposure to internal control functions and regulators within the region, and in particular banking regulators
• Must be a self-starter, flexible, innovative and adaptive
• Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Strong written and verbal communication and interpersonal skills
• Ability to both work collaboratively and independently; ability to navigate a complex organization
• Advanced writing and analytical skills
• Ability to both work independently and collaborate with team members
• Excellent project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Demonstrated knowledge in area of focus

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
• Advanced degree (e.g. JD, MBA) or Certifications (e.g. CFA, FRM) a plus