Senior Audit Manager, ICG Equities & Securities Services
Posted on: November 11, 2018
Senior Audit Manager, ICG Equities & Securities Services Primary Location: United States,Florida,TampaEducation: Bachelor's DegreeJob Function: AuditSchedule: Full-timeShift: Day JobEmployee Status: RegularTravel Time: Yes, 25 % of the TimeJob ID: Description About Citi: Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.Citi's Mission and Value Proposition explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients' and the public's trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all. Description: Internal Audit is a global organization of over 1000 professionals covering Citi's global businesses and service to clients and customers in over 180 countries. Citi's Internal Audit division provides independent assessments of the company's governance, risk management and internal control environment for key stakeholders including the Board of Directors, senior management and Citi's numerous regulators globally. Internal Audit is a change agent within Citi aimed to enhance the control culture of Citigroup worldwide and thereby support senior management decision making around the globe.This role directs the timely delivery of complex high quality, value added assurance and audit reports for a portfolio of business activities, which meet the requirements of the Boards of Citigroup and Citibank, their affiliates and of Citi's respective regulators, globally.The position is for a C14 Senior Audit Manager covering the Prime Finance, Futures Securities, Funds and Equities (PFSS & E) audits in the NAM region. The Securities Services offers Prime Finance / Agency Securities Lending; Futures, Clearing and Collateral; Global Funds Services (Fund Administration includes Fund Accounting, Transfer Agency and Middle Office Services); Direct Custody and Clearing and Global Custody. The Equities business offers all Equity Products, including Cash (High and Low Touch / Electronic), Derivatives (Flow, Exotic, Structured and Hybrids) and Delta One. Other products covered by the team include Research, Multi Asset Group, Sales, Prime Finance, Futures, Funds and Global Custody.This individual will report to the C15 - Audit Director. Key Responsibilities: Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies. Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting. Directs complex audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan. Applies comprehensive expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams. Proactively advances integrated auditing concepts and use of technology. Closely follows latest trends in own field and adapts them for application within own job and the business Manages a complex and critical unit within Internal Audit, including a medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer or Investment Banking, technology management; project/program management; regulatory compliance or supplier management. Leads the professional development of Internal Audit staff. Develops effective senior line management relationships and has a strong understanding of the businesses. Applies an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach. Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. May negotiate internally often at higher levels on matters which will have a major impact on the area managed. Demonstrates strong judgment, political astuteness, and sensitivity to cultural diversity. Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model. Participates in major business initiatives and pro-actively advises and assists the business on change initiatives. Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyzes reporting findings; Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems. Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues. Serves as lead reviewer for all types of reviews, including the most complex. Reviews and approves Business Monitoring Quarterly Summaries.Qualifications BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus. Senior level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables. Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of products associated with the ICG Markets business. Possesses working knowledge of Regulatory Reform, including Dodd Frank regulations and industry requirements. Demonstrates experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment. Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. This individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style. Strong interpersonal skills for interfacing with all levels of internal and external audit and management.
Keywords: Citi, Tampa , Senior Audit Manager, ICG Equities & Securities Services, Executive , Tampa, Florida
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