Emea Regional Head of Cgw Icrm - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
London, United Kingdom

2 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

This role is a direct report to the Chief Compliance Officer for CGW and will be a member of the CGW ICRM Leadership Team.

The EMEA Consumer Wealth and Private Bank client segments are key growth initiatives for CGW.

As such, coverage of CGW EMEA will requirea versatile and dynamic compliance professional that can lead a team directly responsible for the compliance oversight for the distribution of a broad range of wealth management products and services, as well as oversight for the ICRM teams supporting theInvestments and Banking & Lending product platforms of CGW.

The EMEA CGW ICRM Regional Head will be responsible for developing and executing the strategy for the firm's Independent Compliance Risk Management (ICRM) programs for EMEA CGW business activities in line with and supporting the business strategy globally.

Oversees the development and implementation of best-in-class ICRM policies and practices across all of EMEA CGW globally, and act as a liaison with key regulators on ICRM issues.

In addition to, this role will partner closely with Anti-Money Laundering (AML)Compliance to ensure a strong linkage between core ICRM and AML Compliance.


Key Activities include:

  • Overseeing the design, development, delivery, and maintenance of bestinclass Compliance, programs, policies and practices and sets strategic ICRM direction. Translates ICRM strategy and goals across CGW EMEAs clients, products and geographies in a succinctand clear manner; provide direction and guidance on the program.
  • Leading and managing a staff of Compliance professionals, with direct accountability for hiring and organizational structure. Direct oversight for compensation, performance appraisals, staff development, training, etc. Provides input on performance andcompensation recommendations for staff and utilities that provide related services on a matrix basis.
  • Providing oversight and guidance over the assessment of broad complex issues, structures potential solutions and drives effective resolution with other senior stakeholders. Provide advice to the CGW EMEA businesses on an ongoing basis on new CGW EMEA initiatives,new products, business acquisitions, and clientrelated matters with respect to applicability of policies, resolution of potential red flags or other client/transactionrelated compliance escalations.
  • Assisting in setting annual CGW EMEA ICRM and individual goals that support overall compliance risk management strategy.
  • Coordinating with CGW and PBWM compliance heads to align individual programs and objectives with compliance strategy and risk appetite.
  • Representing Chief Compliance Officer in significant strategic initiatives as requested.
  • Building and maintaining strong relationships with other functional heads, working closely with Legal, other control functions, and Internal Audit to create a supportive and seamless culture of compliance, control, and ethical conduct.
  • Providing leadership in collaborating with regional teams to set global direction, standards and plan execution.
  • Providing leadership in creating and implementing policy and establishing the compliance risk management framework supporting the policy.
  • Providing guidance to CGW EMEA and thematic Compliance programs on the resolution of open issues related to audit and examination findings; report progress to senior ICRM and CGW EMEA management as appropriate.
  • Proactively anticipate and help the business plan for changes in the compliance and regulatory environment.
  • Providing counsel to ICRM and function/business/product management on policy interpretation and "gray area" exposures.
  • Establishing professional relationships with relevant regulatory bodies and represent Citi and supported function/business/product Compliance on regulatory matters as required.
  • Serving as the liaison with regulatory examiners, Internal Audit, and external auditors on all significant Compliance issues involving CGW EMEA and overseeing implementation of related remediation.
  • Additional duties as assigned.

KNOWLEDGE, SKILLS AND EXPERIENCE

Education level

and/or relevant experience(s)

Required:


Preferred:
Advanced degree (e.g. JD, MBA) a plus

Knowledge and skills
(general and technical)


Required:


  • Highly motivated, strong attention to detail, team oriented, organized
  • Must be a selfstarter, flexible, innovative and adaptiveStrong presentation skills with the ability to ar
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