Funds Services Oversight Governance and Risk and
il y a 4 semaines
This is an outstanding opportunity to join our Risk and Controls team in Citi’s Luxembourg Office. This role will have a direct influence in the performance of both our Fund Accounting and Transfer Agency teams and support our drive to continuously improve the Franchise. If you are passionate about Risk and Controls then this will be a great opportunity to further your career.
Luxembourg Controls & Governance function is responsible for monitoring and assessing the internal controls environment of the Luxembourg Operations and with the Offshore Service Providers (‘OSPs) servicing Luxembourg Clients. As the manager of the Risk and Controls Team, you will be expected to engage with the department heads across both Fund Accounting and Middle Office and the wider franchise to ensure an effective controls environment is in place which will support the achievement of excellence in delivering operational services to our internal and external clients.
The role holder will also act as a conduit between Operations and second line defence Control teams.
**Governance of off-shored and outsourced functions**:
- Ensure relevant governance documentation is in place, up to date and complied with as the documents governing individual relationships between CEP Luxembourg and individual Citi COE sites (Service Level Agreements, Intern Company Service Agreements ( ICSA’s) and Additional Documentation Requirements (ADRs).
- Ensure service provider enters into contractual agreements and maintain and administer the renewal agreements.
- Own End to End of Due Diligence of offshore service providers:
- Plan and coordinate visit
- Producing reports for review by senior management and the service provider
- Manage and track remediation plans to closure.
- Compliance with applicable regulatory requirements for CSSF
- Liaise with peer Risk and Control groups to ensure corporate Governance Oversight best practice is being followed.
- Ensure that appropriate governance and oversight is executed for onshore/offshore locations for Offshore Service Providers (OSP) and external vendors.
- Provide support to Third Party Management Forum and any updates to Luxembourg Risk and Controls Committee (BRCC) on any Offshoring activities
- Liaise with key stakeholders outside of Funds to ensure all off-shore and outsourced arrangements and migration plans are within Citi policies, influencing policy changes where necessary.
- Drive opportunities to develop and broaden the scope of the off-shored/outsourced Governance framework and review opportunities to implement the framework across the wider Luxembourg site.
**Audit**:
- Senior lead in the coordination of audit reviews/requests from clients, risk, compliance, Internal Audit, Regulators
- Coordination and management of client and investor due diligence requests and visits.
**Operational Controls as they relate to off-shored and outsourced functions**:
- Review monthly MCA results through Governance Risk and Controls System (‘GRC’), testing results are updated and ensure any resulting Issues / CAP’s are raised correctly. Monitor the completion of any corrective actions arising from these reviews.
- Participate in the monthly Risk and Control Forum.
- Co-ordination and management of regulatory matters including regulatory visits and follow up.
- Evaluation of Significant Control Events (e.g. negative metrics trends, operating losses and “at risk” balance, frauds) for area of responsibility
- Ensuring MCA properly covers risks and controls for area of responsibility and quarterly self-assessments are complete and accurate.
- Participation in significant Operations Projects to provide proactive support and control evaluations (e.g. system development or major process/policy changes ensuring deficiencies/concerns are addressed prior to implementation etc.).
**Error Reporting**:
- Review and coordination of client error/incident reporting, ensuring appropriate root cause and preventative action
- Agree corrective actions, assign accountability, tracking actions to closure
- Ensuring appropriate updates to Citi internal controls systems
- Creation and publication of control metrics - agree remediation actions based on issues / error trends
**Development Value**:
Opportunity to directly improve and enhance the control environment at a minute level.
Ongoing exposure to EMEA and local senior management, internal and external audit as well as the client.
**People and Communication**
- Fair-minded, direct, diplomatic communication skills
- Strong relationship management and partnership with a large array of constituents; ability to manage by influence to promote change
- Leadership with proven ability to manage and motivate staff
- Proactive in escalating negative news to relevant parties in appropriate context but able to point out successes as well
- Ability to represent the Controls agenda in key regional governance forums including Risk Committees, Metrics Reviews, Business Cont
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