Quality Assurance, Monitoring and Testing Lead Analyst, Vice President

Citi; Mississauga; On-site; CAD 80,000 - 120,000; Full time

Job summary

A global financial services firm is seeking an experienced professional to lead control testing for its Markets Trading and Sales operations. Responsibilities include executing control testing, coaching team members, and managing stakeholder relationships. The ideal candidate has over 5 years of relevant experience and strong knowledge of Markets business and compliance risks. This role offers a collaborative environment and the opportunity to impact financial services delivery.

Qualifications

• 5+ years experience in Front Office controls testing, internal or external audit.
• Strong understanding of control design assessment techniques.
• Experience of coaching team members and overseeing delivery.

Responsibilities

• Plan, execute and report results of control testing for Markets Trading and Sales.
• Supervise and coach junior team members in control testing.
• Maintain strong stakeholder relationships and present testing outcomes.

Skills

Front Office controls testing

Internal audit

External audit

Understanding of Markets business activities

Knowledge of Markets Operational and Compliance risks

Control design assessment techniques

Coaching and developing team members

Developing senior stakeholder relationships

Education

Bachelor / university education

Job description

Citi Global Markets provides world-class solutions and an unmatched global presence. We serve corporates, institutional investors and governments from trading floors in almost 80 countries. The strength of our underwriting, sales and trading and distribution capabilities span asset classes (Commodities, Equities, Rates, Spread Products) and currencies, providing us with an unmatched ability to meet the needs of our clients.

Markets Governance & Control works with the Markets businesses and functions including Compliance, Operational Risk and Internal Audit, to support identification, evaluation and management of operational and compliance risks in Markets Sales and Trading businesses. The 1st Line of Defence (1LOD) Markets Controls Testing team is part of Markets Governance & Control, and is responsible for execution of a comprehensive, risk-based programme of control testing covering all Markets businesses globally. The primary mission of the 1LOD Markets Controls Testing team is to support Management in its continuous monitoring of its control framework and residual risk profiles, thereby supporting responsible provision of financial services to clients and effective risk management for the firm.

This position reports to the Global Markets Control Testing Programme Head, within the Markets Governance & Control Team. The Global Markets Control Testing Programme Head leads and directs a team of approximately 40 controls testing professionals responsible for supporting the above responsibilities, with breadth and depth on control testing planning and execution.

Key Responsibilities

This role is to plan, execute and report the results of control testing covering Markets Trading and Sales businesses.

Key responsibilities of the role are:

• Executing and reporting results of control testing
• Supervising and coaching junior team members in execution of control testing
• Monitoring execution of parts of the testing programme to agreed timelines, escalating and resolving obstacles to delivery
• Maintaining high standards and best practice for execution of testing activities
• Providing challenge to stakeholders on the design and effectiveness of controls
• Supporting stakeholders in determining necessary control remediation identified through the testing programme
• Maintaining strong stakeholder relationships across Front Office, Markets Conduct Risk, Compliance and Operational Risk
• Presenting impactful summary outputs from the testing programme to stakeholders
• Providing Markets controls subject matter expertise to stakeholders across all three lines of defence

Knowledge, Experience & Skills

• 5+ years experience in Front Office controls testing, internal audit, external audit, independent control reviews, or similar disciplines
• Understanding of Markets business activities and associated regulations
• Knowledge of Markets Operational and Compliance risks, and related controls, associated with trading and sales activities
• Strong understanding of control design assessment and effectiveness testing techniques and practices
• Experience of coaching and developing team members
• Experience of overseeing a team to deliver rigor and attention to detail in execution
• Experience of developing and maintaining effective senior stakeholder relationships
• Track record of providing constructive, effective challenge to Senior Stakeholders on risk management matters

Education

• Bachelor / university education preferred, but appropriate industry experience & exceptional delivery track record is as important.

Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law.

If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi. View Citi’s EEO Policy Statement and the Know Your Rights poster.