Records Management Control Officer

11 - 15 years experience  •  Financial Services

Salary depends on experience
Posted on 11/22/17
Jersey City, NJ
11 - 15 years experience
Financial Services
Salary depends on experience
Posted on 11/22/17

About Citi:Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.Citi’s Mission and Value Propositionexplains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients’ and the public’s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.

Objective: The Records Management group within Ops Regulatory Reporting & Control is responsible for maintaining and disseminating program standards throughout the ICG sector globally in support of compliance with Citi’s firm-wide policy.  The group ensures that ICG’s practices can stand up to heightened regulatory scrutiny.

Key Responsibilities:

  • Lead cross-functional initiatives to enhance the existing Records Management governance model to meet evolving regulatory requirements.
  • Embed a culture of ownership across all stakeholders involved in the creation, transformation, transmission, and storage of electronic records.
  • Educate relevant stakeholders (Business, Operations, & Technology) regarding record retention policy requirements.
  • Liaise with Compliance to ensure ICG alignment with the firm-wide policy and recommend policy updates to address any identified gaps where enhancements are needed.
  • Conduct regular reviews to identify issues, escalate to senior management, and track through to remediation.
  • Interface with regulatory examiners and internal and external auditors.


  • 10 or more years of relevant industry experience
  • Understanding of Broker/Dealer operational structure and products
  • Bachelor’s degree
  • Strong analytical skills
  • Strong written and oral communication skills
  • Strong work ethic
  • Knowledge of main US regulations (SEC 17a-3 & 17a-4, CFTC 17 CFR Part 45) is required
  • Technical knowledge of electronic storage media (e.g., WORM capabilities, system configuration, etc.) is a plus
  • Job ID: 17061261
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