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PBWM and Legacy Franchise Data Risk and Control - Governance & Policy, Controls and Compliance Lead (Hybrid)

직무 ID 22479340 기본 근무지 New York, New York, Wilmington, Delaware, O'Fallon, Missouri, Atlanta, Georgia, Elk Grove Village, Illinois; 채용 범주 Risk Management
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The Data Risk and Control Governance & Policy – Control & Compliance Lead is responsible for the governance and oversight  strategy, and planning  to drive  the adoption and adherence of Citi’s Data Governance Policy (CDGP), Records Management and Global Privacy Policy and all applicable laws and regulations and associated requirements, supporting all PBWM & Legacy Line of Businesses( LOBs) & Regions to ensure engagement, execution, and compliance.  This role works closely with the Enterprise Chief Data Office (ECDO) on the  data policy as well as writes corresponding Data Risk and Control Governance and Oversight  Standards and Charter documents.  This role leads creation and implementation of MCA control requirements for data management activities conducted by PBWM and Legacy Franchise.

This role is responsible for influencing the direction of data governance/ data management control standards via close collaboration with the ECDO, the PBWM and Legacy Franchise Federated Chief Data Office (FCDO), PBWM and Legacy Consumer Technology, Global CAO and Regional CBORC & IBC, and the global functions (Finance, Risk, AML, Compliance, Operational Risk Management, Reg Reporting).   This role is key in driving the overall strength/quality of the Data Governance/ Data Management control environment with a focus on reducing risk and improving data quality.

This role has the responsibility of standing up the PBWM & legacy Franchise FCDO Data Assessment Unit, the ongoing monitoring,  and will lead the  Annual and Quarterly Risk Assessment  process.

This role requires a strong knowledge of the business.  The person in this role needs to understand the risk and regulatory environment that the bank works within and how data governance policy is shaped by that environment.  Additionally, the role requires the holder to be able to adjust priorities based on changes to the business environment (e.g., new regulations or regulatory assessment outcomes). This role also has people management responsibilities.

Key Responsibilities for this role are as follows:

In-Business Controls

The primary function will be to implement a robust risk and controls culture within the PBWM & Legacy Franchise FCDO by ensuring compliance with the Citi Data Governance, Operational Risk Management, Records Management, and the Global Privacy policy with a focus on data risk but all of the various risk stripes are included in this roles scope. These duties include Manager Control Assessments (MCA), controls, coordination with departments for issue management (CAPs), quality control monitoring, and risk management activities.  The focus  of  this role is to anticipate, identify, and work with the  PBWM and Legacy FCDO to determine appropriate mitigants to key risks that could impact business objectives, including advising them on how to design appropriate controls through a globally consistent MCA process.  This role will work closely with all PBWM & Legacy Franchise FCDO functions to manage the control framework that monitors compliance with Citi policies and procedures, and partner with Operational Risk Management (ORM), Compliance, Internal Audit, Legal, Operations, and Technology to address regulatory, compliance, audit matters, and strengthen the control environment.

Additional responsibilities include:

PBWM FCDO In-Business Control responsibilities include, but are not limited to:

  • Prevention (e.g. MCA, control design)
  • Provide strategic leadership and coordination in the consistent design, implementation and execution of a sustainable Governance Framework and Control infrastructure.
  • Coordinate the Governance, Risk and Compliance and Manager’s Control Assessment (GRC&MCA) program implementation and monitoring, establishing controls to ensure its effectiveness.
  • Determine Data Management Control EMP/SMP applicability and adoption across GCB AUs, including local language, Inherent Risk Scoring and Execution of Controls
  • Owning the design of activities, risks, and controls - Define / decide ARCM Language / Taxonomy / Inherent Risk etc.
  • Regulatory Compliance Management - Partner with ICRM, Legal and Business areas, for the analysis of regulations and rules (new or modified) applicability and incorporate them in the Regulatory Inventory (RI) and its mapping within GRC & MCA.
  • 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 GRC&MCA.
  • implement actions that reduce residual risk levels
  • Testing & Verification (e.g. Preventive Reviews)
  • Monitor centrally the alignment to the Operational Risk Management Policy.
  • Establish metrics and monitoring and reporting process for MCA objectives compliance
  • Preventive targeted reviews to identify areas that might be exposed to risk, complete an assessment, and ensure proper mitigation is implemented
  • Leads quarterly and annual self-assessments of the Governance, Risk & Compliance & Manager´s Control Assessment Central Procedures and the completion of all assessments related to controls
  • Oversees alignment of regional team regarding the defined IBC roles and responsibilities.
  • Conduct Control/Monitoring Design Assessment
  • Evaluation of QRA & ARA Results including rationale/commentary. Complete management review and AU / MGE Attestation for QRA & ARA.
  • Remediation of risks and issues (e.g. CAPs).
  • Supports the business in resolution of corrective action plans, has an integrated view on their status for compliance with the policies, guidelines, and / or applicable standards
  • Acts as the liaison or primary point of contact with the 2LoD, 3LoD and Control and Support Functions.

Booking Controls Policy Implementation Program Lead Responsibilities

Leading teams of business SMEs, Project Leads, PMs, and Consultants to:

  • Develop implementation plan for booking controls policy compliance and prioritize products for gap analysis
  • Ensure booking transaction controls are in place related to existence, conformance, completeness, accuracy, and timeliness.
  • Complete assessments to identify any gaps in booking controls
  • For identified gaps, develop remediation plans and implement compensating measures
  • Ensure booking controls are integrated into the MCA framework
  • Establish and implement a Booking controls operating model, including change management and validation of control effectiveness
  • Identify applicable KRIs for booking transactions, and set-up a process to monitor and report KRI results

Data Risk and Control Governance Permanent Control Readiness

As part of the enhanced Data Risk and  Control  oversight strategy, this role will establish a Global Permanent Control Readiness program to create a framework for evidencing control accuracy within data governance.  This role  will conduct reviews to assess the PBWM & Legacy Franchise FCDO activities, perform end-to-end review and challenge of control deliverables to confirm quality and adequacy against target state, commitments, and expectationsKey responsibilities include:

  • Identifying controls and ensuring procedures and processes are in place to confirm maker/checker accuracy
  • Completing template to capture all controls identified
  • Providing evidence of Control Readiness by delivering documentation and attestation proving accurate and sustainable controls are in place
  • Ensuring controls are aligned to policy and procedure requirements
  • Providing sustainability evidence annually, managed by the Global Permanent Control Readiness team

Responsible for ensuring successful delivery of critical Consent Order milestone activities pertaining to PBWM & Legacy Franchise .  Provide overall leadership and management of the “Policy, Governance, Metrics & Controls” commitments.  Drive delivery of key milestones, define success factors and metrics to measure success, and support successful validation.

Also responsible for oversight of milestone requirements across multiple Consent Order work streams (i.e.  Risk & Controls Consent Order Workstream – including Booking Controls and updates to the GRC framework impacting the Data related ARCMs).

Internal Audit & ICRM / ORM Challenges

Internal Audit & External Reviews Management - Act as point of contact and business coordinator on examinations during planning, fieldwork and closing. Align resources, identify key participants, and lead reviews.  Assess Risk and control matrix (RCM) and scope for accuracy and relevance.  Ensure all involved have proper understanding of the requirements and provide guidance on interpretation where applicable. 

Qualifications

Business and Technical Requirements

  • Bachelors Degree
  • 15+ years experience in Financial Services and analytical work experience with a strong understanding of data, databases, data tools etc.  
  • Experience managing at a senior level
  • 15+ years experience with defining and implementing data quality programs to improve business management and regulatory compliance functions
  • Direct experience in the design, delivery and management of consumer banking products and services (deposits, loans, mortgages, investment and insurance products) across several geographies and jurisdictions would be a plus
  • Highly effective collaboration, problem solving and communication skills across many levels of business and functional stakeholders
  • Progressive experience in delivering large-scale change initiatives impacting people, culture, process and technologies
  • Proven delivery of multi-line of business solutions under highly visible contractual, regulatory or financial constraints
  • Strong understanding of relevant business processes and data segments

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    Job Family Group:

    Risk Management

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    Job Family:

    Operational Risk

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    Time Type:

    Full time

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    Citi is an equal opportunity and affirmative action employer.

    Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

    Citigroup Inc. and its subsidiaries ("Citi”) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi.

    View the "EEO is the Law" poster. View the EEO is the Law Supplement.

    View the EEO Policy Statement.

    View the Pay Transparency Posting

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    Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.

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