The 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.
- 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.
- Identify opportunities to test, optimize and scale-up successful risk and control initiatives
- Identify existing manual controls monitoring that can be digitized through improved controls, integration, higher effectiveness and efficiency, and forward compatible techniques.
- 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.
- Proven ability to influence across products and functions and operate effectively at all levels in a collaborative manner. Demonstrate through delivery of projects the ability to motivate and influence business partners to deliver on milestones and commitments.
- Demonstrate leadership among team dynamics to effectively address key issue and diagnose appropriate solutions.
- Ability to implement and integrate strategic control framework with the business
- 10+ years of prior experience in regulatory compliance related work - Internal Audit, Risk management, Internal Procedures and Controls required
- Must have strong product knowledge of Cards, Personal Loans, Mortgage and Sales business, DMT, COB, GRC, MCA, QRA, ARA, ARCM, CBORC risk and control framework
- 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
- Strong expertise in implementing processes that results in improved business performance
- Ability to successfully interact with various levels within the organization, including Senior Management
- Required Licensing/Registration: Series 7, Series 9, Series 10, Series 24, Series 63, Series 65
Job Family Group
- Bachelor's/University degree or equivalent experience, potentially Masters degree
Compliance and ControlJob Family
Business ControlTime Type
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