Vice President, Equities Data & Low Touch Activities Governance
The Equities and Securities Services (ESS) business, within a top tier global bank, is seeking an experienced professional to perform Data Governance and e-Trading Applications and Strategies for Low Touch Activities (LTA) Governance in the APAC region. The ESS business includes Cash Equities, Equity Derivatives, Prime Finance, Futures Clearing and Collateral, Custody and Fund Services, Direct Custody and Clearing, Strategic Equities Solutions, and Sales (Equities, Prime and Futures). ESS Data Governance
focuses on Disclosures, Access | Entitlements, Documentation, Agreements, Data Management, Segmentation and Suitability pertaining to transactional data. ESS Data Governance
Low Touch Activities (LTA)
- Collaborate across the Business, Technology, Legal, Compliance, and Business Controls and Supervision instituting Data Governance best practices
- Draft high-quality data governance documentation for internal and external communication
- Manage regional monthly Data Governance Forums and ad hoc data-related governance meetings
- Provide awareness to client facing and operations staff regarding the importance and benefits of a robust Data Governance program
- Align regional ESS data Procedures and Standards to global enterprise wide policies specific to data
- Capture and document clear data governance business requirements
- Document and drive business requirements pertaining to data governance | controls
- Drive and track multiple complex new and BAU initiatives | projects within ESS
- Deploy best-in-class practices for safeguarding and restricting access to highly-regulated trading products (e.g. Systematic Internalizers, etc.) as well as other products and services within the Business
- Facilitate data stewardship within the region APAC for the ESS business
- Coordinate and document initiatives including interdependencies
- Investigate data-related matters and determine business impact | value
- Oversee and govern Corrective Action Plans (CAPs) specific to data governance
- Perform BAU and project management data governance
- Draft and manage relevant data-related initiatives through the regional New Products Approval (NPA) process, including Cross Border Data Clearance (CBDC) and Privacy Risk Conduct Assessment (PRCA)
- Assist the regional ESS business to drive a robust "data-driven" business
Governance focuses on the implementation and oversight for the region's Low Touch Activities (LTA), Electronic Execution (EE) and Order Management Systems (OMSs). LTA Governance
- Manage quarterly LTA Governance Forums for ESS including producing all supporting documentation
- Manage quarterly LTA Material Change Challenge Sessions
- Draft high-quality LTA governance documentation for internal and external communication
- Govern Citi's LTA documentation -- covering initiatives such as Business Procedures, Conduct Risk Assessment, Gap Analysis, LTA Checklist, front-to-back architectural diagrams, Model Risk Management | Validation, Continuity of Business (CoB) | Disaster Recovery plans, etc.
- Ensure governance of existing and new LTA Application and Strategy Inventory
- Maintain an inventory of LTA Controls for monitoring LTA Applications, breach thresholds, approval process for changing limits and thresholds, as well as the escalation protocol for breaches
- Ensure adherence and documentation of LTA Applications and Strategies pertaining to:
- Change Management -- Strategy Changes, Application Changes and Control Limit Changes
- Control Breaches
- Control | Limit Reviews
- Inventory Review
- Oversee the roll out of training and completed attestations for staff that are involved in the design, development, testing, support and execution of LTA Applications and Strategies
- Review internal | external operational risk events pertaining to ESS businesses with Operational Risk
- Oversee and govern Corrective Action Plans (CAPs) specific to LTA Governance
- Review monitoring controls including anti-disruptive trading practices and market surveillance controls
- Implement effective governance of Breach Reporting across applicable Minimum Control Standards and Hard Block Controls
- Bachelor degree with a strong academic record, advanced degree (a plus)
- Domain knowledge of LTA (e-Trading) and Data Governance pertaining to the ESS business, however, we are open-minded in our search for critical thinkers who are passionate about e-Trading and data governance
- Ability to produce high-quality documentation including standard operating procedures
- Experience in implementing and managing controls and governance pertaining to e-Trading and Data
- Results-oriented team player with excellent communication (written, oral and listening) and presentation skills
- Knowledge of (or ability to) research regional applicable regulatory rules and regulations
- Self-motivator -- able to demonstrate and follow-through on routine and complex (business | technology) problem-solving and analytical matters
- Time management skills -- good organizational skills and the ability to exercise control over the amount of time spent planning and focusing on initiatives and execution
- Comfortable interacting with, and presenting to, senior management
- Ability to interact effectively with numerous distributed teams (virtual teams) in a collaborative, team-oriented culture within the region and across other regions
- General knowledge of Data Access, Data Quality, Data Control Environment, Data Architecture | Infrastructure, Data Lineage, Metadata, etc.
Time Type :Full time------------------------------------------------------
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