The Regulatory Reporting role is a senior analyst position within the CGMI Segregation Oversight team, which is responsible for executing daily controls to mitigate the inherent risk of non-compliance with the SEC's Client Asset Protection rule (15c3-3), a Tier 2 US regulation. This is deemed a Financial Responsibility rule by the SEC, requiring an annual attestation by CGMI's executives CEO, COO, & CFO) as to the strength of the internal control framework (known as the 17a-5 Annual Compliance Report).

Internally, this role regularly interfaces with NY-based Markets businesses (Prime Client Execs & Prime Finance traders), Markets Operations (NY/NJ), Financial Controllers (NY), Technology, Prime Legal, Compliance (NY/NJ), Compliance Independent Assurance testing, and Internal Audit.

Externally, this role regularly interfaces with representatives from the SEC and FINRA's NY offices via Ongoing Supervision (OGS) and Annual Exams. This role is also intensively involved in KPMG's annual 17a-5 audit of 15c3-3 Possession or Control.

Responsibilities:

• Lead teammates and work cohesively with peers across the firm to: design, execute, and monitor efficacy of controls to ensure customer securities are segregated in our international network of custody locations on a timely basis; monitor that the firm’s trade/system flows are operating within the confines of this regulation to ensure client positions are not at risk of being utilized.
• Monitor and manage key metrics associated with reports to identify challenges and issues. Support implementation of processes and controls to mitigate the risk of inaccurate reporting.
• Collaborate with the team to drive process improvements to enhance the accuracy, efficiency, and transparency of the regulatory reporting process.
• Assist the team during regulatory inquiries and examinations, delivering accurate information and analysis to aid regulatory reviews.
• Work with peers and program leaders on the implementation of U.S. regulatory changes within the reporting framework.
• Partner with Risk & Controls team to maintain and enhance an effective internal control’s structure.
• Has the ability to operate with a limited level of direct supervision
• Can exercise independence of judgement and autonomy.
• Perform analysis of financial results and conclude cause of variances.

Qualifications:

• 3+ years of extensive experience within the financial services industry and regulatory reporting.
• Foundational knowledge of U.S. regulatory agencies and customer protection requirements.
• Able to navigate through a large organization to streamline and summarize multiple information points and create repeatable processes to build consistency in presenting information.
• Strong oral and written communication skills, with ability to synthesize complex concepts, and influence change.
• Strong technical problem-solving skills and an ability to identify conflicts, discrepancies and other issues and bring together the right team to solution them.
• Ability to manage competing priorities and tasks in a complex and dynamic and work well as part of a team.
• Experience managing large tasks in complex environments
• MS Office, particularly Excel: basic understanding and functions for ad-hoc analysis, such as filtering, sorting, pivoting, lookups, etc.
• Broker/Dealer books and records fluency, such as stock record

  Education:

  • Bachelor's/University degree in Finance, Accounting or related field

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In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

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