Citi Global Wealth

Vor 3 Tagen

Geneve, Schweiz Citi Vollzeit

The Business Control Manager (BCM) role is within the EMEA Private Bank, reporting to the EMEA Supervision Lead. The role involves overseeing risk and control by exercising a program of day-to-day and on-going supervisory activities across a group of Bankers, Investment Counsellors and Capital Markets teams (collectively ‘Representatives’). The role holder will interact with a range of stakeholders across all levels of the organization including Business Managers, General Market Managers, Desk Heads, Bankers, Investment Professionals and Servicing Teams.

It is also Important for the role holder to be able to work closely with a diverse group of support and control functions including in-Business Risk, Compliance, Operational Risk, Legal and Internal Audit.

**Key Responsibilities**:

- The Business Control Manager will be responsible for the following activities
- Monitoring and approval of Investment Objective Setting (‘IOS’) forms for client accounts
- Monitoring and approval of Alternative Investment promotions and subscriptions
- Monitoring and oversight of account level risk versus Investment Objectives, Risk Tolerance and other suitability information through execution of the Daily Risk Management Review (‘DRMR’) process
- Monitoring and review of Suitability Surveillance Cases, and similar surveillance reports generated in relation to investment transactions
- Performing periodic reviews of trade blotters / desk activities across the Investments organisation
- Reviewing and approving certain alternative investments, higher risk or complex transactions either pre or post promotion
- Reviewing and approving client MIFID professional status
- Performing regular account documentation / suitability reviews including cross border aspects
- Conducting periodic reviews of employees involved in the promotion of Investment Products, including but not limited to Training & Competency assessments
- With support of the Independent Compliance Risk Management function (ICRM), monitor continuing education and licensing requirements for relevant employees
- Managing and helping resolve sales practice / investment related complaints
- Periodically reviewing and affirming listing of employees under supervision
- Performing surveillance reviews, including Total Conduct monitor
- Lead and support key projects to (1) enhance controls and respond to new regulations and/or Citi Policies, and (2) implement process enhancements, management and oversight of new or arising issues
- Presenting findings and preparing materials for regular Governance and Control Forums
- ** Knowledge/Experience**:

- Minimum 10 years of experience in Private Banking, Wealth or Asset Management or Capital Markets role(s)
- Strong understanding of UK FCA Conduct of Business (COB) rules and EU Regulations, particularly regarding Investment sales and suitability requirements
- Prior experience managing a team or in a supervisory role
- ** Skills**:

- Excellent organisational skills and attention to detail
- Diligent compliance and risk management geared approach to problem solving, while maintaining commercial and client experience awareness
- Strong verbal and written communicator possessing inter-personal skills, including stakeholder and conflict management
- Can communicate complex ideas simply and compellingly
- Team player with the ability to work flexibly with peers and partners in a cooperative, collaborative, high energy and matrix managed business
- Ability to understand and adapt to rapidly changing regulatory requirements, internal policies and procedures
- Analytical inquisitiveness and problem solving approach with an ability to ask insightful questions, break down complex challenges into workable components, draw meaningful conclusions and provide insight on potential solutions
- Efficient and effective use of office software (e.g. Excel, Power Point) due to the data gathering and reporting elements of the role

**Qualifications**:

- Experience working directly in Investment Supervision, Business Risk and Controls or similar first line of defence function strongly preferred.
- Solid knowledge of EU / UK / Swiss Regulatory requirements
- Degree educated

**Competencies**:

- Able to sift through complexity, identify potential areas of risk and set forth issues clearly for presentation to management and key stakeholder
- Ability to communicate complex regulatory updates concisely to Relationship Professionals, fostering an environment of understanding and adherence to regulatory requirements, internal policies and procedures
- Able to work well under pressure, prioritising multiple tasks based on risk materiality and delivering results within respective deadlines
- Ability to think critically and manage unfamiliar situations with reference to sound controls and business practices
- Ability to manage routine processes with precision and ad-hoc projects with flexibility and creativity
- Valuing Diversity: Demonstrates an appr

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