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Finance Controls Testing Head Director (Hybrid)

Posted: 06/09/2024


Job Req ID 24752059

Finance Controls Testing Head Director

The Global Functions Control Testing Utility is responsible for the testing of controls that are designed and executed by Global Functions including the Operations & Technology teams. This team is also responsible for implementing control testing and monitoring for all Maker Checker controls across Citi to ensure effectiveness of these controls.

This position reports to the Global Functions Control Testing Utility Head, within the Citi COO organization’s Central Controls Capabilities team; and is a strategic- and execution-oriented leadership role accountable for end-to-end control testing for the Global Functions and O&T teams – i.e., operational controls performance assurance/testing – which includes design, results reporting, and insight sharing related to the above scope of controls testing. This role will initially focus on all Maker Checker Controls within the 1st Line to create capabilities to evidence independent Control Design Assessment and Operational Effectiveness Testing of these controls. Subsequently, this role will take on Controls testing within the Finance organization.

The Finance Controls Testing Head leads and directs a team of approximately 42 controls testing professionals responsible for supporting the above responsibilities, with breadth and depth on control testing planning and execution. The position closely follows latest trends in controls testing and adapts them for application within own job and covered businesses and functions with frequent engagement to senior managers at Director or Managing Director levels.

Excellent management and communication skills required to negotiate internally, frequently at a senior level. Developed communication and diplomacy skills are required to guide, influence, and convince others, in particular colleagues in other areas and occasional external customers. Accountable for controls testing results and advising business and function partners regarding control execution. Necessitates a degree of responsibility over technical strategy. Responsible for supporting the Global Functions Control Testing Utility Head on handling staff management issues, including resource management and allocation of work within the team/project.


  • Leads the Finance Controls Testing Utility by independently assessing Controls and proposing actions to address the root causes that persistently lead to Control failures by challenging both historical and proposed practices.
  • Holds responsibility for controls testing program and for assessing the design of in-scope controls.
  • Establishes and oversees the application of operational risk policies, technology and tools, and governance processes to create lasting solutions for detecting unmitigated risk arising from failed internal processes, inadequate controls, and emerging risks in partnership with the Citi businesses & functions.
  • Works with colleagues in other areas of Risk Management, Compliance/Control, and the Businesses to assure appropriate management of Operational Risk processes with appropriate controls.
  • Identifies emerging operational risks in the context of the current economic, regulatory, and business environment and proposes measures the business could take to mitigate those risks.
  • Investigates causes for results that are deviating from trends and escalate situations that pose excessive risk(s).
  • Communicates and interprets Managers Controls Assessment (MCA) controls testing results and trends to audit, business, compliance, and legal senior leadership – e.g., Operating Risk Forum, Quarterly Risk Assessment (QRA) Meeting, Business Risk and Control Committee.
  • Develops and drives quality-checking routines to ensure compliance with all relevant policies, operating guides, and owned control testing scope.
  • Sets ambitious and measurable control testing goals for self and teams that align to business strategy and support business strategy realization.
  • Clears obstacles for team through business cases, influence, education, and relationship leverage –  whether it be resource, process, or knowledge gaps.
  • Coaches direct reports and any level of team member on topics ranging from team capacity management to specific testing design and execution points, and from performance management to testing platforms basics.
  • Drives team for continuous improvements in accuracy, efficiency, timeliness, and quality of MCA control design assessment and controls testing.
  • Maintains relationships and drives accountability with partners and stakeholders to drive control testing's success in support of the business's strategy.
  • Appropriately assesses risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.
  • Undertakes any additional duties assigned and as needed that are commensurate to this position’s skill levels and experience levels in support of fulfilling Control Testing Utility objectives.


  • 15+ years relevant experience, including 8+ years’ managerial experience.
  • Experienced in Operational and Compliance Risk.
  • Experienced in banking products and processes especially high risk manual and semi-automated processes.
  • Demonstrated analytical ability; asks insightful questions, breaks analytical challenges into workable components and draws meaningful conclusions. Well versed in breaking down complex matters into core issues and root causes that can be more readily addressed.
  • Proficient in developing new ideas to mitigate risk and improve current processes.
  • Prioritizes high impact potential problems effectively. Consistently reads different situations accurately and takes appropriate action to gain senior colleague/ client commitment. Articulates clearly how risk technology supports unit's business, as well as the issues due to gaps between the current technology and known business requirements. Ability to measure and assess the impact of rare-event risks. Well-versed in reviewing the dimensions of risk.
  • Advanced Leadership skills and operates as a leader with an understanding and appreciation for diverse backgrounds.
  • Experience managing teams with broad accountability in a complex environment. Ability to work effectively in a cross-functional organization Ability to balance strategic priorities with tactical actions Proven track record and accountability in making quick decision that have an immediate impact on business financials.
  • Excellent communication skills required to negotiate internally, often at a senior level. Some external communication/negotiation may be necessary.
  • Investment securities and/or insurance licenses preferred (e.g., Series 7, 9,10, 24, 63, 53, 55, 66, L&H).


  • Bachelor’s/University degree, Master’s degree preferred.

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