Vice President - Data Science/Compliance Testing/Automation - BFS

Vice President - Data Science/Compliance Testing/Automation - SAS / SQL / R / Python / Tableau / Scala

Job Description :

Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of organization's compliance risks; performing independent testing activities (testing and on-going monitoring) to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.

Key Activities include :

- Overseeing the development, implementation, and execution of the compliance testing Automation program and initiatives.

- Lead development of "To-Be" processes, documenting identified policy and procedure gaps and executing a future state implementation plan.

- Collaborate with business partners, data engineers and infrastructure partners to gather requirements, extract insights and develop viable solutions to meet business goals focused on end-to-end enhancements to and automation of processes and controls.

- Conduct fact-based analyses and problem solving, and develop actionable recommendations to drive business impact through improvements in cost, customer experience, and demand management.

- Identify, leverage and implement best practices and processes across Job Description

Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of organization's compliance risks; performing independent testing activities (testing and on-going monitoring) to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.

Key Activities include :

- Overseeing the development, implementation, and execution of the compliance testing Automation program and initiatives.

- Lead development of "To-Be" processes, documenting identified policy and procedure gaps and executing a future state implementation plan.

- Collaborate with business partners, data engineers and infrastructure partners to gather requirements, extract insights and develop viable solutions to meet business goals focused on end-to-end enhancements to and automation of processes and controls.

- Conduct fact-based analyses and problem solving, and develop actionable recommendations to drive business impact through improvements in cost, customer experience, and demand management.

- Identify, leverage and implement best practices and processes across organization to strengthen our control programs.

- Develop periodic metrics to assess quality of execution reporting and management.

- Apply knowledge of business products, processes and technology to identify opportunities for further strengthening of the control environment across the business.

- Perform review and challenge of program deliverables to confirm quality and adequacy of deliverables against program target state and regulatory commitments and expectations.

- Perform solution reviews and update requirements to align with changing environment needs

- Possess a strong sense of visual design to present analytical results with exceptional customer experience as a priority

- Active ownership and accountability for tracking on all assigned development and operational projects

- Stay current with emerging tools, techniques and technologies in machine learning, statistical modelling & analytics

- Executing interactive programs of support and testing, in accordance with CTA requirements, that provide regulators and stakeholders' insight into compliance trends, themes, issues, and root causes.

- Participating in the development and enhancement of the CTA Methodologies and Standards for auditing, testing, monitoring, and reporting.

- Analyzing and providing credible challenges to team's assessment of the control environment (of relevant assessment units), including Manager's Control Assessments (MCA), Internal Audit Assessments (and related control metrics such as Issues Being Actioned by Management (IBAM), on-time remediation, Reopens, and MCA effectiveness), Regulatory Issues (and its metrics), Compliance Testing Results, and Legal Matters.

- Developing effective relationships within CTA function and with other stakeholders including business and technology process owners, and Internal Audit function.

- Building and managing relationships with senior functional management executives, as well as working closely with the regional Compliance Testing Heads, regional Heads of Internal Audit, and functional auditors to ensure delivery of a plan of work that provides testing over the key risks for the Global Corporate Functions.

- Promoting knowledge sharing and promulgation of best practices across ICRM and the business.

- Identifying industry best practices and share insight with the CTA teams on a regular basis.

- Informing CTA senior management of significant compliance matters that require their attention or action.

- Additional duties as assigned.

- 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.

Qualifications:

- 10+ years of relevant experience

- Strong experience in R, SQL, Python, SAS, Tableau and/or Scala to manipulate data

- Solid understanding of various Machine Learning algorithms, model selection criteria and Supervised/ Unsupervised learning techniques

- Functional knowledge of ETL processes

- Demonstrated understanding of business procedures, financial services, control and regulatory industry knowledge and general understanding of relevant banking regulation and supervisory expectations for large complex financial institutions.

- Expert at building reports, dashboards and visualizations using business intelligence and analytics tools, such as Tableau, Micro Strategy or Cognos

- Strong experience with Agile (scrum) framework and Atlassian tools such as JIRA, Bitbucket and Confluence

- Knowledge of the data pipeline and experience working with data through the various stages: identifying, validating, ingesting, monitoring, visualizing, predicting, reacting, explaining

- Meticulous attention to detail and demonstrated ability to produce high quality, accurate work consistently

- Capable of communicating solutions, technical details and outcomes to audiences across diverse disciplines

- Demonstrate extensive abilities as a team leader, which includes creating a positive environment, monitoring workloads of the team, respecting the work-life quality of team members, providing candid and meaningful feedback in a timely manner, and keeping leadership informed of progress

- Extensive global compliance and audit related experience, and strong knowledge of business processes and IT technologies utilized in the Financial Services Industry

- Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities

- Knowledge and extensive experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities

- 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

- Demonstrated career progression within highly respected diversified institutions with complex and diverse products and customers

- Understanding of rules, laws, and regulations, and specific regulatory requirements impacting financial services and [insert product, function, legal entity or regional nature of role as required]

- Strong interpersonal skills for building strong relationships with stakeholders and engaging teams

- Effectiveness in working within a large scale and complex matrix organization is essential

- Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions

- Willingness to travel

- Must be a self-starter, flexible, innovative and adaptive

- Highly motivated, strong attention to detail, team oriented, organized

- Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging

- Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level

- Experience in managing regulatory exams and relationships with examiners, auditors, etc

- Awareness of regulatory requirements including local and US laws, international and industry standards

- Advanced knowledge in area of focus

Grade :Salary Range-Level: C13-Structure: 5Salary Range-Level: C13-Structure: 5-Standard-USA-US3 to strengthen our control programs.

- Develop periodic metrics to assess quality of execution reporting and management.

- Apply knowledge of business products, processes and technology to identify opportunities for further strengthening of the control environment across the business.

- Perform review and challenge of program deliverables to confirm quality and adequacy of deliverables against program target state and regulatory commitments and expectations.

- Perform solution reviews and update requirements to align with changing environment needs

- Possess a strong sense of visual design to present analytical results with exceptional customer experience as a priority

- Active ownership and accountability for tracking on all assigned development and operational projects

- Stay current with emerging tools, techniques and technologies in machine learning, statistical modelling & analytics

- Executing interactive programs of support and testing, in accordance with CTA requirements, that provide regulators and stakeholders' insight into compliance trends, themes, issues, and root causes.

- Participating in the development and enhancement of the CTA Methodologies and Standards for auditing, testing, monitoring, and reporting.

- Analyzing and providing credible challenges to team's assessment of the control environment (of relevant assessment units), including Manager's Control Assessments (MCA), Internal Audit Assessments (and related control metrics such as Issues Being Actioned by Management (IBAM), on-time remediation, Reopens, and MCA effectiveness), Regulatory Issues (and its metrics), Compliance Testing Results, and Legal Matters.

- Developing effective relationships within CTA function and with other stakeholders including business and technology process owners, and Internal Audit function.

- Building and managing relationships with senior functional management executives, as well as working closely with the regional Compliance Testing Heads, regional Heads of Internal Audit, and functional auditors to ensure delivery of a plan of work that provides testing over the key risks for the Global Corporate Functions.

- Promoting knowledge sharing and promulgation of best practices across ICRM and the business.

- Identifying industry best practices and share insight with the CTA teams on a regular basis.

- Informing CTA senior management of significant compliance matters that require their attention or action.

- Additional duties as assigned.

- 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.

Qualifications:

- 10+ years of relevant experience

- Strong experience in R, SQL, Python, SAS, Tableau and/or Scala to manipulate data

- Solid understanding of various Machine Learning algorithms, model selection criteria and Supervised/ Unsupervised learning techniques

- Functional knowledge of ETL processes

- Demonstrated understanding of business procedures, financial services, control and regulatory industry knowledge and general understanding of relevant banking regulation and supervisory expectations for large complex financial institutions.

- Expert at building reports, dashboards and visualizations using business intelligence and analytics tools, such as Tableau, Micro Strategy or Cognos

- Strong experience with Agile (scrum) framework and Atlassian tools such as JIRA, Bitbucket and Confluence

- Knowledge of the data pipeline and experience working with data through the various stages: identifying, validating, ingesting, monitoring, visualizing, predicting, reacting, explaining

- Meticulous attention to detail and demonstrated ability to produce high quality, accurate work consistently

- Capable of communicating solutions, technical details and outcomes to audiences across diverse disciplines

- Demonstrate extensive abilities as a team leader, which includes creating a positive environment, monitoring workloads of the team, respecting the work-life quality of team members, providing candid and meaningful feedback in a timely manner, and keeping leadership informed of progress

- Extensive global compliance and audit related experience, and strong knowledge of business processes and IT technologies utilized in the Financial Services Industry

- Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities

- Knowledge and extensive experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities

- 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

- Demonstrated career progression within highly respected diversified institutions with complex and diverse products and customers

- Understanding of rules, laws, and regulations, and specific regulatory requirements impacting financial services and [insert product, function, legal entity or regional nature of role as required]

- Strong interpersonal skills for building strong relationships with stakeholders and engaging teams

- Effectiveness in working within a large scale and complex matrix organization is essential

- Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions

- Willingness to travel

- Must be a self-starter, flexible, innovative and adaptive

- Highly motivated, strong attention to detail, team oriented, organized

- Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging

- Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level

- Experience in managing regulatory exams and relationships with examiners, auditors, etc

- Awareness of regulatory requirements including local and US laws, international and industry standards

- Advanced knowledge in area of focus

Grade :Salary Range-Level: C13-Structure: 5Salary Range-Level: C13-Structure: 5-Standard-USA-US3