Wealth Operations, Non-Financial Regulatory Reporting Vice President

The Wealth Operations, Non-Financial Regulatory Reporting Vice President is a high‑performing individual contributor and one of the firm’s most knowledgeable specialists in Americas Non‑Financial Regulatory Reporting (NFRR) for Wealth Management. This role operates with a strong degree of independence and is responsible for daily Run‑the‑Bank (RTB) execution, including the preparation, review, validation, and control oversight of Citi Wealth’s most complex non‑financial regulatory reports.

The VP ensures consistent operational execution, adherence to established procedures, integrity of reporting controls, and timely escalation of issues. The role supports regulatory inquiries, internal audits, and compliance reviews and provides subject‑matter expertise across reporting regimes such as SEC, FINRA, MSRB, CFTC, HKMA, SFC, MAS, FCA, ESMA/MiFIR, CSSF, UAE Central Bank, IIROC, and other global authorities relevant to Wealth.

Operating without direct people management responsibilities, this individual contributor drives day‑to‑day reporting accuracy, maintains audit‑ready documentation standards, strengthens control execution, and supports RTB‑aligned aspects of strategic initiatives and change programs through subject‑matter review and operational impact assessments.

Responsibilities:

Operational Execution & RTB Production (Primary Focus)

• Execute daily/weekly/monthly NFRR reporting obligations across Americas Wealth, including preparation, validation, reconciliation, control execution, and documentation.

• Ensure accuracy and completeness across key reporting domains: CAT, Rule 606/605, N‑PX, TRACE, MSRB G‑14, and other Wealth‑linked Americas reports.

• Support Wealth data inputs for global regulatory obligations (e.g., Dodd‑Frank/CFTC, Volcker, EMIR, MiFID/MiFIR, HKMA OTC reporting, SFC/HKMA surveys, MAS statistical reporting, CSSF reporting, CDDP6, UAE BRF-series, etc.).

• Follow approved procedures with precision, updating workpapers, logs, calendars, and filing evidence to audit‑ready standards.

• Perform variance checks, exception reviews, population validation, control sign‑offs, and root‑cause analysis for identified issues.

• Maintain high‑quality, regulator‑ready reporting documentation, including lineage notes, validation results, and procedural references.

Control Execution, Quality Assurance & Issue Management

• Challenge data, results, and control outputs to ensure reporting quality and detect anomalies before submission.

• Document and validate preventive and detective controls, ensuring alignment with Citi’s NFRR Control Framework and Books & Records standards (e.g., SEC 17a‑4, FINRA 4511).

• Escalate issues promptly, ensuring remediation actions are initiated, documented, and closed with accuracy.

• Conduct RTB‑focused deep‑dive analyses for data breaks or reporting exceptions, ensuring sustainable corrective actions.

Expert Advisory & Stakeholder Partnership

• Serve as an RTB subject‑matter authority on NFRR operational requirements, providing guidance to Operations, Technology, Compliance, Legal, Product, and Data partners.

• Provide operational insight to CTB and regulatory change teams where needed (UAT, procedure alignment, control impacts), without assuming program ownership.

• Support internal/external auditor requests, preparing evidence, walkthroughs, data explanations, and control narratives.

• Respond to regulatory inquiries and ad‑hoc requests within tight SLAs, ensuring accuracy and documentation completeness.

Governance, Documentation & Procedure Stewardship

• Maintain comprehensive SOPs, control inventories, reporting playbooks, and desk‑level procedures for assigned reports.

• Ensure accurate representation of reporting flows, dependencies, control points, and data lineage within NFRR governance forums.

• Assist in RTB readiness efforts for new reporting obligations or transitions, including control testing, documentation updates, and parallel run support.

Thought Leadership & Knowledge Sharing

• Provide day‑to‑day coaching and operational guidance to peers, raising capability across the RTB reporting team.

• Contribute to the development of best practices, standardized templates, quality benchmarks, and reporting methodologies.

• Represent Wealth Operations in discussions with oversight partners and business stakeholders, articulating reporting logic, data dependencies, and regulatory expectations clearly and accurately

Qualifications:

• Experience: 6 to 10 years of extensive and progressive experience in Regulatory Reporting, Operations, Compliance, Risk, or Audit at a global financial institution.

• Program Leadership: A proven track record of successfully leading large-scale, complex, cross-functional programs from inception to completion is essential.

• Regulatory Expertise: Strong working knowledge of key Americas NFRR regimes (e.g., SEC: N‑PX, Rule 606/605; FINRA: CAT, CAIS; MSRB G‑14; TRACE; CFTC/Dodd‑Frank) with familiarity across global regimes that intersect with Wealth (e.g., MiFID/MiFIR, EMIR, FMIA, HKMA, SFC, MAS, CSSF, UAE Central Bank).

• Strategic & Analytical Acumen: Highly developed strategic thinking skills, with the ability to analyze complex problems, develop innovative solutions, and translate strategy into executable plans.

• Operational Excellence: Proven proficiency executing RTB production workflows with accuracy, documentation rigor, and adherence to control requirements.

• Influence & Communication: Mastery of communication, negotiation, and influencing skills, with demonstrable experience presenting to and advising senior executive leadership.

• Stakeholder Management: Exceptional ability to manage and influence a wide range of senior stakeholders in a matrixed environment.

• Education: Bachelor’s degree in a relevant field is required. A Master's degree (e.g., MBA, MSc) or other advanced certification (e.g., PMP, CFA) is highly preferred.

The Job Profile for this position is: Sec& Derivatives Lead Analyst - C13

Job Family Group:

Operations - Transaction Services

Job Family:

Securities and Derivatives Processing

Time Type:

Full time

Primary Location:

Tampa Florida United States

Primary Location Full Time Salary Range:

$103,920.00 - $155,880.00

In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

Most Relevant Skills

Please see the requirements listed above.

Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

Anticipated Posting Close Date:

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