Head of Markets Conduct Controls Testing Job at Citi – London
Markets Conduct Risk works with Markets and Securities Services (MSS) and functions including Compliance, Operational Risk and Internal Audit, to support identification, evaluation and management of conduct risks in MSS Sales and Trading businesses. The 1LOD Conduct Controls Testing team is part of Markets Conduct Risk, and is responsible for execution of a comprehensive, risk-based programme of conduct control testing covering all MSS businesses globally. The primary mission of the 1LOD Conduct Controls Testing team is to support Management in its continuous monitoring of its control framework and residual conduct risk profile, thereby supporting responsible provision of financial services to clients and effective risk management for the firm.
This role is to lead the 1LOD Conduct Controls Testing Team, including all aspects of planning and execution of the conduct control testing programme across MSS.
Key responsibilities of the role are:
Providing effective leadership to the 1LOD Conduct Controls Testing Team
Leading continuous improvement of all aspects of the conduct control testing process
Engaging, coaching, developing and managing the performance of Team members
Directing development and execution of a large, complex programme of conduct control assessment and testing
Overseeing the supervision framework within the testing team, ensuring highly effective execution and reporting of testing activities
Execution of the testing programme to agreed timelines, escalating and resolving obstacles to delivery
Setting and maintaining high standards and best practice for execution of testing activities
Providing robust and constructive challenge to Senior stakeholders on the design and effectiveness of conduct controls
Supporting stakeholders in determining necessary control remediation identified through the testing programme
Maintaining highly effective Senior stakeholder relationships across Front Office, Markets Conduct Risk, Compliance and Operational Risk
Presenting impactful summary outputs from the testing programme to Senior Management and Governance Committees and Forums
Providing conduct control subject matter expertise to stakeholders across all three lines of defense
Knowledge, Experience & Skills:
Strong understanding of conduct risks, and related controls, associated with trading and sales activities
Strong understanding of control design assessment and effectiveness testing techniques and practices
Experience in Front Office controls testing, internal audit, external audit/ control consulting, or similar disciplines
Extensive experience of leading a large team, coaching and developing team members
Extensive experience of leading execution of complex workloads to challenging timelines
Experience of overseeing a team to deliver rigor and attention to detail in execution
Experience of developing and maintaining effective Senior stakeholder relationships
Track record of providing constructive, effective challenge to Senior Stakeholders on risk management matters
College/university education preferred, but appropriate industry experience & exceptional delivery track record is as important.
Job Family Group:
Business Risk & Controls
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About the Company
Company: Citi –
Company Location: London