Risk & Control Lead

3 days ago

Ho Chi Minh City, Vietnam Citi Full time

The Country Legacy Franchises TSA/Divestiture Transition Risk and Control Lead is a specialist who proactively supports the Country Legacy Franchises PMO Divestiture Transition (DT) Lead and Citi Country Officer (CCO) in managing and mitigating operational & compliance risks and overseeing risk and control aspects for the country Legacy Franchises post Legal Day1 (LD1) construct as a First Line of Defense function. The role has a direct reporting line to the Country Legacy Franchises PMO Divestiture Transition (DT) Lead with a matrix into Regional Legacy Franchises Risk and Control (R&C) Head.

The incumbent has the responsibility to establish a robust framework that enables effective risk and control management in relation to management of Transition Services Agreements (TSA), contractual obligations with buyers and all residual activities left with Citi after the Legal Day 1 (LD1 when business ownership is transferred to buyer). The incumbent will proactively execute a suitable framework and governance process and provide effective operational risk management oversight and support which is essential to ensuring appropriate evaluation, mitigation, and communication of operational risks, the identification and driving of corrective actions, and ensuring that root causes and themes are addressed to avoid recurrence of issues and support a robust control environment.

The Country DT R&C lead has front-to-back line-of-sight across the divesture transition construct in country to ensure that any key operational & compliance risks relating to Citi from the standpoint of a service provider to buyer, residual activities left with Citi including activities required to reach LD2 (Legal day 2) are managed and mitigated effectively.

The Country DT R&C lead partners closely with stakeholders as mentioned above to stay abreast of risks and control issues that relate to the Post LD1 divestiture construct and to escalate and socialize these to the DT Head, CCO and to the Regional LF R&C function as needed.

**Responsibilities**:
**Governance & Line-of-Sight
- **Maintain front-to-back line-of-sight on risks and controls across the Post LD1 DT organization in country including those that impact Divestiture Transition (eg: LF GCT, LF Ops, TSA billing).

**End-to-end Process Mapping (Including Third Parties and Inter-affiliate)-** Work with stakeholders supporting DT to map and document processes including those that tie into third parties (external and internal). Use the process maps to support the identification of risks and incorporating appropriate controls to ensure compliance with process and control requirements.

**Risk Identification, Analysis, and Management and Reporting
- **including Reporting to Country BRCC and other relevant country and regional risk & control forums (including cadence of engagements with buyer) on Divestiture Risk & Control as well as governance activities.

**Issue Escalation and Socialization
- **Establish an effective process to escalate and socialize material risk events and issues with country and regional management in line with the Asia Issue Escalation and Notification Guideline issued. This would include maintaining escalations register, involvement in post LD1 Hypercare period and lead and support root cause analysis, trending, and lessons learned.

**End-to-end Regulatory Compliance Process Review
- **Review the robustness of the end-to-end regulatory compliance process in partnership with Country Compliance including the receipt and interpretation of rules and regulations as applicable, their documentation in the Compliance Regulatory Control Matrix (RCM), the mapping from the Compliance RCM to the MCA, and the testing of rules and regulations.

**Manager’s Control Assessment (MCA) Coordination - **including Annual Risk Assessments, Quarterly Risk Assessments, Continuous Risk Monitoring, identification of appropriate ARCM content to ensure risk profile represents the key risks faced by the country divestiture construct, initiating, and accepting internal dependencies, interfacing with ORM on challenges, etc

**Issue and Corrective Action Plan (CAP) Process Oversight, Coordination And Validation - **Including overseeing the management of issues and CAP lifecycle as required for the Divestiture construct, managing Risk Exceptions and ensure timely renewals, as required.

**Audits, Franchise Reviews and Regulatory Examination Management
- **Support the Country Divestiture construct on relevant reviews and audits from the 2nd and 3rd LODs and regulators. Support the DT teams on reviewing and responding to findings issued by reviewers.

**‘Deep Dive’ Reviews
- **Perform and participate in relevant in-country deep dives and analysis, and report on issues and recommendations relating to the scope of divestiture activities.

**Training and Awareness
- **Perform training for country DT staff on risk and control concepts, processes, tools, and on effective issue self-identification an

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