DirecciónThe Compl Bus Control Group Mgr is accountable for management of complex/critical/large professional disciplinary areas. Leads and directs a team of professionals. Requires a comprehensive understanding of multiple areas within a function and how they interact in order to achieve the objectives of the function. Applies in-depth understanding of the business impact of technical contributions. Strong commercial awareness is a necessity. Generally accountable for delivery of a full range of services to one or more businesses/ geographic regions. Excellent communication skills required in order to negotiate internally, often at a senior level. Some external communication may be necessary. Accountable for the end results of an area. Exercises control over resources, policy formulation and planning. Primarily affects a sub-function. Involved in short- to medium-term planning of actions and resources for own area. Full management responsibility of a team or multiple teams, including management of people, budget and planning, to include performance evaluation, compensation, hiring, disciplinary actions and terminations and budget approval.
Responsibilities:
- Oversees the building and maintaining the control/audit function working across a region/business
- Responsible for, inventory management process, vendor business support and TPISA controls for Recovery.
- Leads team to develop process improvements and value for end users via control team.
- Leads continual assessment and improvement of the 3rd party Vendor oversight processes to include oversight of onsite and remote audits for 3rd parties, and ensuring compliance with Third Party policies .
- Responsible for strategic planning, budgeting and policy formulation for the group including capacity planning and team development.
- Responsible for interaction and thought leadership in working with both Internal Audit and External regulators, and ownership of quarter end control results reviews with Collections Leadership and Business Partners.
- Responsible for change control process oversight for Collections and Recovery as well as oversight for multiple quality monitoring/quality control work.
- Collaborate on changes and to internal and regulatory policies as well oversight for Compliance monitoring and testing.
- Appropriately assess 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, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.
Qualifications:
- 10+ years of prior experience in regulatory compliance related work – Internal Audit, Risk management, Internal Procedures and Controls required
- Proven ability to work cross-functionally exercising leadership through influence, persuasion and negotiation
- Exemplary thought leadership skills; able to build and lead strategic initiatives
- Excellent relationship management skills
- History of interactions with both Internal and External Regulators
- Required Licensing/Registration: Series 7, Series 9, Series 10, Series 24, Series 63, Series 65
Education:
- Bachelor’s/University degree or equivalent experience, potentially Masters degree
In-Business Control & Governance SVP
The IBCO & Governance SVP will report to the CBM In-Business Compliance Head and will work closely with the CBM Business Execution Team, Senior Management, and Businesses key stakeholders within the three lines of defense at a local and global level.
The overall objective of this role is to strengthen the control environment across the CBM Business Execution area acting as the IBCO; He/She should have front to back line of sight into all key aspects of the respective business, as well as providing control related reporting assistance in the resolution of outstanding issues, corrective action plans and any other control process which needs to be addressed.
The In-Business Control & Governance SVP, also will be responsible of maintaining the corporate governance and risk culture through the coordination of the respective Corporate Governance Committees such as the BRCC, CCC, etc. across Citibank Mexico.
This role also will be responsible of the annual budget and expenses administration for the Business Execution area, Organizational Change Management, Data Privacy, among others.
Key Responsibilities:
IBCO:
Process, risks and Control Management
Relevant experience in First Line of Defense is mandatory
- Leads quarterly and annual Managers Control Assessment (MCA) self-assessments and completion of all control related assessments on behalf of the business.
- Verifies that new or modified products are reviewed through the appropriate governance routines and processes and that these are launched with adequate controls, which can be monitored and reported.
- Provides support when requested by global, regional or local teams on Scenario Analysis (SA) process (defined at Business Segment Level) ensuring timely and accurate data submission. Performs SA trigger monitoring.
- Ensures that controls are in place so Operational Risk Events are timely and accurately reported into Loss Capture System (LCS).
- Co-responsible, with the business process owners, of the Business as Usual activities related to the design, establishment and updating of measures and controls.
Issue Management
- Supports the business in the issue management and corrective action plans, has an integrated view on their status for compliance with the issue management policies, guidelines, standards and / or applicable regulations.
- Has under its structure the Control Issue Management Officer (“IMO”). It can be clusterized according to the needs of the Business.
Internal & External Review Management
- Acts as the Business Coordinator point of contact on examinations during planning, fieldwork and closing.
- Oversees that issues raised during examinations are registered in Integrated Corrective Action Plan System (iCAPs) in agreement with the Control Issue Management Officer (IMO).
Regulatory Compliance Management
- Partners with Compliance, Legal and Business, for the analysis of applicable regulations and rules (new or modified) and incorporates them in the Regulatory Control Matrix (RCM) and the mapping into the MCA.
- Assist his/her business with the implementation of regulatory initiatives.
Policy Compliance Management
- Partners with Business and Policy Owners (Global, Regional & Local as applicable) for the analysis of their policies (new or modified); verifies that these Policies are mapped into the MCA.
- Assists his/her business´s key policy initiatives implementation as defined by the GFB IBCO Head and Local Policy Owner (e.g. Records Management, Business Continuity, Regulatory Change Management, Third Party Management, Data Management, etc).
- Acts as the Business focal point of contact on annual compliance assessments (e.g EWARA, EWORA)
Governance:
- Implementation, monitoring and continuous improvement of Citibanamex's Corporate Governance and Risk Governance framework.
- Coordination of regulatory reviews and internal audits related to Corporate Governance.
- Execute on Committee Secretary/Coordinator Role for Risk Governance Steering Council.
- Execute on Governance related MCA activities, including GRC, CMDA, testing, Quarterly Risk Assessment and the Annual Risk Assessment process.
- Transform raw data into useful metrics and reportable information for senior leadership.
- Acts as SME to senior stakeholders and /or other team members.
Knowledge/Experience:
- Post-Graduate or Master Degree desirable with at least 5+ years of experience in successfully managing control strategic programs
- Financial services industry experience required
- Relevant compliance, risk and control knowledge required.
- Relevant Risk Management or Corporate Governance experience highly desirable.
- Relevant experience working in Citibanamex or Citi related functions highly desirable
Skills:
- Action-oriented, entrepreneurial, flexible, and innovative approach to operational management
- Ability to foster co-operative and collaborative working
- Experience working with direct and indirect reports or teams
- Proactively mitigate, manage and escalate issues
- Strong attention to detail and ability to multi-task
- Strong interpersonal skills – including teamwork and organizational skills
- Strategic and goal-oriented thinker
- Passion, humility, integrity, positive attitude, mission-driven, and self-directed
Competencies:
- Influence: Ability to drive an effect over the behaviour and mind-set of the people to obtain their buying or support in an specific situation across a large, complex and matrixed organization
- Negotiate: Strong strategic & dialogue capacity to reach agreements and solve problems with subordinates, peers, stakeholders and Senior Management to reach agreements and solving problems
- Tactic: Strong ability to analyze complex scenarios, plan, define and develop integrated solutions to achieve a particular goal within the organization
- Communicate: Excellent ability to successful deliver verbal & written messages across a large, complex and matrixed organization
- Talent: Strong leadership focus on talent identification, attraction, nurturing, retaining and assembling high performance teams
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Job Family Group:
Compliance and Control-------------------------------------------------
Job Family:
Business Control------------------------------------------------------
Time Type:
Full time------------------------------------------------------
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