Objective

The Operations Regulatory Reporting group validates, monitors, & performs regulatory reporting. The AVP role is responsible for various regulatory filing preparation and submission of daily, weekly, and bi-weekly reports to OFR, FINRA, and FRB of NY. This role will also take part in routine monitoring of Operations related regulatory capital charges and customer reserve requirement pertains to net capital rule (15c3-1) and US customer protection rule (15c3-3), as well as other Citi policy implementation initiatives, regulatory requirement related governance and oversight transformation (MCA, DCRM, EUC, etc.), and support role for all internal and external reg engagements.

Key Responsibilities

• Analyze data for regulatory reporting obligations to US regulators, such as Non-centrally Cleared Bilateral Repo Data to OFR, Short Interest, Covered Securities Loan transactions, and Portfolio Margining to FINRA, and FR 2004 to the Federal Reserve.
• Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for operations regulatory advice and interact with regulators as needed to provide information and responses.
• Participate in bank examinations and internal and external audits.
• Maintain communication with the Business, Compliance, IT, and the Control & Reconciliation Group to ensure that regulatory reporting requirements are properly addressed on all levels of system and procedural changes, including the introduction of new financial products and transactions.
• Develop and maintain effective partnerships with all stakeholders on regulatory related issues. Manage, escalate, track issues and ensure resolution of issues that poses operational / regulatory risk to the firm.
• Ensure capital and customer reserve exposure calculations are accurate and taking action to reduce open issues related to operational and financing categories of the weekly customer reserve (SEA Rule 15c3-3) and capital charges (SEA Rule 15c3-1). Potential areas of concerns are Aged Fails, Stock Record & Depository breaks, Suspense, Repo/Reverse Repo and Stock Borrow/Loan Deficits, etc.
• Develop junior members of the team to become the future leaders of the organization.

Knowledge/Experience

• An undergraduate degree in business, finance, other related fields.
• Strong analytical skills.
• 4+ years of related experience in the banking / broker-dealer industry.
• Material experience with operational risk disciplines; processes, risks and controls and familiarity with financial product and services, as well as brokerage accounting.
• Regulatory filing related to Financial Industry related regulations will be a plus.
• Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker-dealer regulatory filing is a plus.
• Strong interpersonal skills and ability to communicate effectively in both oral and written form.
• Technical skills in various Microsoft Office Tools (particularly Access, Excel, Project and PowerPoint).
• Strong leadership, and project management skills and ability to manage many competing priorities.
• Strong work ethic and highly motivated individual with outstanding record of professional achievement.

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Job Family Group:

Finance

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Job Family:

Regulatory Reporting

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Time Type:

Full time

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Primary Location:

Getzville New York United States

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Primary Location Full Time Salary Range:

$70,080.00 - $105,120.00

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.

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Most Relevant Skills

Business Acumen, Change Management, Communication, Data Analysis, Financial Acumen, Internal Controls, Issue Management, Problem Solving, Regulatory Reporting.

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Other Relevant Skills

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

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Anticipated Posting Close Date:

Aug 12, 2025

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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.

 

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