Strategic Risk and Compliance Leader in Wealth Management

3 weeks ago

Singapore Citi Full time

About Citi:

Citi is a global bank that offers a comprehensive wealth solution to clients across the wealth continuum. Our team delivers integrated advice and execution, as well as traditional and alternative investments, managed account strategies, world-class research, and investment guidance.

Job Overview:

We are seeking a highly skilled Strategic Risk and Compliance Leader to join our Wealth Investments EMEA, LATAM, NAM Control Testing Team. This role will be responsible for overseeing end-to-end controls monitoring of the Wealth Products and Operations department, including design, execution, results reporting, and insight sharing.

Responsibilities:

  • Lead Controls Monitoring: Act on assessing control design, designing control testing tools, developing control testing procedures, ensuring control testing transitions, dispositioning exceptions, and developing insights.
  • Execute Control Design Assessment (CDA): Carry key responsibility for CDA by executing CDA checklist/procedures for controls and recording results in Citi Risk & Control (CRC).
  • Owning Significant Portions of Control Testing Design Activity: Owns significant portions of control testing design activity, which includes writing control testing tool descriptions, and completing control testing and QUEST setup.
  • Develop Control Testing Procedures: Develops control testing procedures in Confluence and is responsible for obtaining necessary signoffs from covered businesses and functions.
  • Train Central Execution Team: Performs a uniquely significant role on training Central Execution team overseas on all designed control testing tools and established control testing procedures.
  • Outlier Disputes and Concerns: Has the ultimate decision on controls testing outlier disputes, holds the responsibility to raise concerns through IMPACT Concerns or QUEST Observation Logs based on the Business.
  • Create Materials for Senior Meetings: Creates materials for Operational Risk Forums (ORF) and senior meetings as needed and investigates causes for results that are deviating from trends and escalate situations that pose excessive risk(s).
  • Drive Quality-Checking Routines: Develops and drives quality-checking routines to ensure compliance with all relevant policies, operating guides, and owned control testing.
  • Serve as Subject Matter Expert: Supports team members on topics ranging from control testing design to performance management and control testing platforms basics.
  • Maintain Relationships and Drive Accountability: Maintains relationships and drives accountability with partners and stakeholders to drive control testing's success in support of the business's strategy.
  • Avoid Excessive Risk: Appropriately assesses risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients, and assets, by driving compliance with applicable laws, rules, and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct, and business practices, and escalating, managing, and reporting control issues with transparency.

Requirements:

  • 5+ Years of Relevant Experience: 5+ years relevant experience, 3+ years in Risk & Controls roles.
  • Subject Matter Expertise: Subject matter expert on controls design, execution, and/or control testing.
  • Advanced Skills: Advanced skills in MS Word, MS Excel, MS PowerPoint, and MS SharePoint.
  • Effective Communication and Relationship Management: Effective communication, written, and presentation skills. Strong people and relationship management skills with the ability to influence others and foster a sense of collaboration.
  • Independent Thinker and Collaborator: Independent thinker and able to perform a credible challenge of businesses/functions. Ability to work effectively on virtual teams, including across different geographies and time zones preferred.
  • Investment Securities and/or Insurance Licenses: Investment securities and/or insurance licenses preferred (e.g., Series 7, 9,10, 24, 63, 53, 55, 66, L&H).
  • Bachelor's/University Degree: Bachelor's/University degree, Master's degree preferred.

About You:

To be successful in this role, you should have excellent understanding of MCA (Managers Control Assessment) frameworks and processes, advanced skills in MS Office applications, effective communication, and relationship management skills. You must be an independent thinker and able to work collaboratively on virtual teams. A bachelor's/university degree and relevant experience in risk and control roles are also essential. If you are a detail-oriented individual with strong analytical skills, we encourage you to apply for this exciting opportunity.

Earnings Estimate: Estimated salary: SGD 140,000 - SGD 180,000 per annum, depending on qualifications and experience. We offer a competitive compensation package, including bonuses, benefits, and opportunities for professional growth and development.

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