Investment Middle Office is part of Investment Operations organization and the key function is to ensure clients' trades fulfill applicable compliance requirements and risk guidelines.
This role is an intermediate management level position responsible for providing full leadership and direction to a team of employees in day-to-day tasks as well as driving process improvement and automation. Responsibilities:
- Execute securities transaction processing related to compliance rule checks
- Formulate procedures, techniques and contribute to the development of new techniques that increase team productivity, ensuring entire team meets or exceeds performance goals
- Serve as an analytical and procedural expert, and as first point of escalation for staff members, management and internal/external clients
- Escalate control gaps and issues to senior management as needed
- Identify control gaps in day-to-day processes and implements appropriate solutions to mitigate any risk or control losses
- Analyze data to identify control deficiencies and resolve discovered issues through implementing appropriate procedures
- Act as an advisor to new/junior staff
- 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.
- 5-8 years of relevant experience
- Experience in managing or contributing in large scale projects
- In-depth knowledge of capital markets, securities and/or funds from operations perspective
- Previous people management experience
- Consistently demonstrates clear and concise written and verbal communication skills
- Bachelor's Degree/University degree or equivalent experience
#LI-HYBRI Job Family Group:
Operations - Transaction Services Job Family:
Securities and Derivatives Processing Time Type:
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