Description:

The SVP - Wealth Operations, Non-Financial Regulatory Reporting is a key leadership role accountable for the end-to-end execution, integrity, and strategic direction of the non-financial regulatory reporting function for the Americas. You will be responsible for ensuring the completeness, accuracy, and timeliness of all reporting while embedding a culture of proactive risk management and continuous improvement. This role requires a leader who can operate at both a strategic and tactical level, driving the institutionalization of reporting as a core management discipline. You will partner with senior stakeholders across Compliance, Risk, Technology, and the Business to not only meet but exceed regulatory expectations, setting a new industry benchmark for operational excellence.

Responsibilities: Operational Execution & RTB Production

• 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.

Strategic Leadership & Transformation:

• Architect and deploy a best-in-class, unified regulatory reporting framework for the Americas, eradicating siloed ownership structures and creating an impermeable control environment.
• Champion the transformation of the function into "Regulatory Intelligence & Strategy," using data-driven insights to provide senior leadership with predictive analytics and decision-making intelligence.
• Drive the execution of our 2026 strategic roadmap, ensuring all objectives, including the deployment of a robust control framework and the enhancement of data integrity, are delivered on time and to the highest standard.
• Act as a primary liaison with internal and external auditors and regulators, cultivating a culture of perpetual exam readiness and representing the firm with authority and credibility.

Operational Excellence & Risk Management:

• Lead the end-to-end execution of all non-financial regulatory reporting processes, ensuring 100% compliance with regulatory requirements and internal standards.
• Engineer and deploy a comprehensive control framework, including pre- and post-submission controls, automated data validation, issue management, and sustainable risk mitigation practices.
• Systematically identify and drive opportunities for automation and process optimization, reducing reliance on manual adjustments and fortifying upstream controls.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding its clients and assets.

Expert Advisory & Cross-Functional 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.

Stakeholder Collaboration & Influence:

• Build and maintain strong relationships with key senior stakeholders across the enterprise, including Risk, Compliance, Technology, and Business leadership, to ensure seamless integration and alignment.
• Chair premier governance forums to provide unified oversight of reporting performance, control efficacy, and remediation velocity.
• Communicate progress, risks, and opportunities in a concise and compelling manner to the senior executive team.

Talent Development & Leadership:

• Lead, mentor, and empower a high-performing, multi-disciplinary team of regulatory reporting professionals.
• Build an effective team through strategic hiring, coaching, and fostering a culture of collaboration, accountability, and continuous professional development.
• Champion a culture where top talent thrives, establishing the function as a net exporter of skilled leaders to other divisions within the firm.

Qualifications:

• Experience:

A minimum of 15+ years of relevant experience in a large, complex, multinational financial services firm, with at least 7+ years in a senior managerial capacity leading teams.

• Domain Knowledge:

Deep subject matter expertise in Operations and Non-Financial Regulatory Reporting (e.g., COB, Records Management, etc.). Proven experience with the associated control frameworks, data lineage challenges, and regulatory landscape.

• 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).

• Transformational Leadership:

Proven record of achievement in leading large-scale transformation initiatives, driving process re-engineering, and implementing automation.

• Strategic & Analytical Mindset:

Exceptional ability to think strategically, connect disparate ideas, and draw logic-based conclusions from complex datasets.

• Stakeholder Influence:

Masterful communication, negotiation, and interpersonal skills, with the ability to influence and build consensus among senior stakeholders in a matrixed organization.

• Executive Presence:

Adept at presenting complex information clearly and concisely to C-suite executives and regulators.

• 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.

Job Family Group:

• Operations
• Transaction Services

Job Family:

Securities and Derivatives Processing:

Time Type:

Full time

Most Relevant Skills

Please see the requirements listed above.

Other Relevant Skills

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

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.