IA - Conduct Supervision - Snr Audit Manager - SVP

London, Greater London, United Kingdom
Competitive salary
20 Apr 2021
06 May 2021
Approved employers
Approved employer
Job role
Experience level
- Subject Matter Expert to the IA Conduct and Supervision team, bringing experience in the following fields to deliver a high quality of challenge in technical aspects of market conduct;

i. Market Abuse

ii. Unauthorised Trading

ii. Transaction Monitoring/Trade Surveillance

iv. Front office supervision.

- Acts as SME on conduct and supervision risks to senior stakeholders and/or other team members.

- Coaching and upskilling team in technical areas of expertise.

- Provide SME input into audit reports, Internal Audit and Regulatory issue validation and business monitoring and governance committee reports

- Proactively advise and assist the business on change initiatives as well as key remediations

- Develop other internal audit staff, and work in constant collaboration with peers around the global team

- Identify solutions for a variety of complex and unique control issues, utilizing complex judgement and sophisticated analytical thought

- Analyze report findings, and recommend interventions where needed, proposing creative and pragmatic solutions to risk and control issues

- Partner with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues

- Contribute to the periodic refresh of Citi's Risk Governance Framework with a focus on Principle Risk Reporting for Market Conduct & Integrity

- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.


- Previous experience of working as a trader within markets or within first line of defense market conduct risk and controls role, is a must.

- Strong technical understanding of markets products, in addition to understanding market conduct controls in the following areas:

i. Market Abuse

ii. Unauthorised Trading

iii. Transaction Monitoring/Trade Surveillance

iv. Front office supervision.

- Demonstrated success in the articulation and challenge of conduct risk, in addition to operating at senior stakeholder level.

- Coaching and upskilling team in technical areas of expertise.

- Experience of working within an Internal Audit function preferable.

- Demonstrated knowledge and understanding of End-to-End trading life cycle controls across major business lines

- 10+ years of experience in related roles

- Related certifications (CPA, ACA, CFA, CIA, CISA or similar) preferred

- Proven ability to execute concurrently on a portfolio of high quality deliverables according to strict timetables

- Consistently demonstrates clear and concise written and verbal communication

- Demonstrated ability to remain unbiased in a diverse working environment

- Effective negotiation skills


- Bachelor's degree/University degree or equivalent experience

- Master's degree preferred

Job Family Group:
Internal Audit

Job Family:

Time Type:
Full time

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