Markets E-Trading Risk and Controls Senior Vice President

Citi•New York, NY

22d

About The Position

Governance and oversight of E-Trading businesses across Markets, which includes annual attestation/review of key E-Trading documentation, and Market Access Rule for the US Project management of key markets-wide E-Trading initiatives and remediation of corrective actions arising from Regulatory and Internal Audit findings. Lead reviews by global banking and securities regulators, Compliance testing, and Internal Audit of E-Trading business, including preparation of responses to findings and corrective action plans (as needed). This role that will report into the NAM and LATAM Head of ETRC in New York. Perform Real-Time Monitoring (RTM) one/two days a week including Bank Holidays (when required). RTM involves monitoring and investigating relevant alerts that could indicate signs of disorderly trading. For relevant alert triggers, ETRC escalate to trading desks, management and Second Line of Defence where necessary. Lead the market access reviews/attestation from a cross-asset perspective, while ensuring adherence to the market access controls and oversight protocols as required by the 15c3-5 Market Access Rule Participate as the regional lead for NAM to ensure robust governance for the E-Trading limits management system while disseminating key changes and asset class implications to key stakeholders by following strong program management protocols Own the issue management workstream for the team by providing oversight of remediation plans for ETRC or Businesses (where relevant) and maintaining strong relationship with the Markets Testing Team, Compliance Testing and Internal Audit. Provide expert guidance to the Businesses with respect to the E-Trading Governance framework and represent ETRC at Product Level Governance forums. Assist with key E-Trading initiatives and remediation of ETRC enhancement projects for the NAM region as required. Develop and manage key relationships with the NAM E-Trading Businesses, Technology, Risk and Compliance functions. Has the ability to operate with a limited level of direct supervision. Can exercise independence of judgement and autonomy. Acts as SME to senior stakeholders and /or other team members.

Requirements

Subject matter expertise with Electronic Trading Risks, Controls and Market Structure
10+ years relevant work experience in Business Risk & Controls, Compliance or Audit
Deep knowledge of E-Trading regulation and guidance and best practices
Experience with designing and managing centralized E-Trading tools (limit databases, risk and control inventories) from a technical and project delivery perspective
Consistently demonstrates clear and concise written and verbal communication skills
Effective organizational influencing skills required
Excellent problem-solving skills
Ability to see the big picture with high attention to critical detail
Demonstrated ability to develop and implement strategy and process improvement initiatives.

Responsibilities

Governance and oversight of E-Trading businesses across Markets, which includes annual attestation/review of key E-Trading documentation, and Market Access Rule for the US
Project management of key markets-wide E-Trading initiatives and remediation of corrective actions arising from Regulatory and Internal Audit findings.
Lead reviews by global banking and securities regulators, Compliance testing, and Internal Audit of E-Trading business, including preparation of responses to findings and corrective action plans (as needed).
Perform Real-Time Monitoring (RTM) one/two days a week including Bank Holidays (when required).
Lead the market access reviews/attestation from a cross-asset perspective, while ensuring adherence to the market access controls and oversight protocols as required by the 15c3-5 Market Access Rule
Participate as the regional lead for NAM to ensure robust governance for the E-Trading limits management system while disseminating key changes and asset class implications to key stakeholders by following strong program management protocols
Own the issue management workstream for the team by providing oversight of remediation plans for ETRC or Businesses (where relevant) and maintaining strong relationship with the Markets Testing Team, Compliance Testing and Internal Audit.
Provide expert guidance to the Businesses with respect to the E-Trading Governance framework and represent ETRC at Product Level Governance forums.
Assist with key E-Trading initiatives and remediation of ETRC enhancement projects for the NAM region as required.
Develop and manage key relationships with the NAM E-Trading Businesses, Technology, Risk and Compliance functions.