Post Trade Compliance Vice President
Citi, Columbus, OH, United States
The Financial Administration – Post Trade Compliance (PTC) Senior Manager, Vice‑President (VP) oversees completion of various compliance testing, liquidity risk management, derivatives monitoring and other procedures related to mutual fund and other investment company trading activity and investment holdings. The PTC VP manages a team of compliance analysts, coordinates with internal stakeholders, and ensures timely, accurate delivery of results to investment company clients on a daily, monthly and other periodic basis. The role requires a comprehensive understanding of SEC, IRS, Sub Chapter M, SEC Form N‑1A, and related regulatory guidance.
Responsibilities
Ensure the team provides quality service to clients and responds promptly to internal and external inquiries.
Perform all aspects of people management, including annual performance management, hiring, feedback, mentoring and training.
Oversee delivery of daily, monthly, quarterly and ad‑hoc compliance reporting in accordance with regulations and service standards.
Provide reporting to fund boards of trustees/directors as needed.
Participate in fund audit processes.
Serve as a subject‑matter expert on investment types, mutual funds, ETFs and financial markets.
Review information disclosed in SEC filings (e.g., N‑PORT, N‑MFP) and understand filing deadlines and electronic filing processes.
Understand applicable sections of Sub Chapter M of the IRC related to fund compliance.
Understand applicable sections of mutual fund registration statements (SEC Form N‑1A).
Provide thought leadership on fund events such as new launches, new investment types and new compliance regulations.
Partner with Technology on business requirements documentation, testing and roll‑out of new automation solutions.
Encourage continuous improvement to reduce risk and improve efficiency.
Manage projects, lead department initiatives, and participate in committee initiatives.
Qualifications – Job Specifications
Bachelor’s Degree in Accounting, Finance, or a business‑related field (MBA is a plus).
10+ years of mutual fund (or equivalent) compliance, reporting, administration or similar industry experience.
Prior people‑management experience required.
Experience with FIS InvestOne fund accounting platform, including MBOR and OLE functionality, is a plus.
Experience with automated compliance testing platforms is a plus.
Advanced experience with Microsoft Office applications, particularly Excel, is required.
Qualifications – Attributes
Superior leadership and people‑management skills.
Superior attention to detail, sense of urgency for deadlines, and solid organizational skills.
Strong written and verbal communication skills; interpersonal skills to foster client and internal relationships.
Proactive balance of team resources and workflow requirements.
Willingness to work outside normal hours during peak reporting cycles.
Conduct monthly coaching/feedback sessions with direct reports and regular team meetings.
Ability to review and understand contracts and agreements.
Handle escalated issues timely and appropriately.
Oversee projects effectively.
Promote a positive working environment and influence others to embody the Citi Culture.
Citi is an equal‑opportunity employer. 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.
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Responsibilities
Ensure the team provides quality service to clients and responds promptly to internal and external inquiries.
Perform all aspects of people management, including annual performance management, hiring, feedback, mentoring and training.
Oversee delivery of daily, monthly, quarterly and ad‑hoc compliance reporting in accordance with regulations and service standards.
Provide reporting to fund boards of trustees/directors as needed.
Participate in fund audit processes.
Serve as a subject‑matter expert on investment types, mutual funds, ETFs and financial markets.
Review information disclosed in SEC filings (e.g., N‑PORT, N‑MFP) and understand filing deadlines and electronic filing processes.
Understand applicable sections of Sub Chapter M of the IRC related to fund compliance.
Understand applicable sections of mutual fund registration statements (SEC Form N‑1A).
Provide thought leadership on fund events such as new launches, new investment types and new compliance regulations.
Partner with Technology on business requirements documentation, testing and roll‑out of new automation solutions.
Encourage continuous improvement to reduce risk and improve efficiency.
Manage projects, lead department initiatives, and participate in committee initiatives.
Qualifications – Job Specifications
Bachelor’s Degree in Accounting, Finance, or a business‑related field (MBA is a plus).
10+ years of mutual fund (or equivalent) compliance, reporting, administration or similar industry experience.
Prior people‑management experience required.
Experience with FIS InvestOne fund accounting platform, including MBOR and OLE functionality, is a plus.
Experience with automated compliance testing platforms is a plus.
Advanced experience with Microsoft Office applications, particularly Excel, is required.
Qualifications – Attributes
Superior leadership and people‑management skills.
Superior attention to detail, sense of urgency for deadlines, and solid organizational skills.
Strong written and verbal communication skills; interpersonal skills to foster client and internal relationships.
Proactive balance of team resources and workflow requirements.
Willingness to work outside normal hours during peak reporting cycles.
Conduct monthly coaching/feedback sessions with direct reports and regular team meetings.
Ability to review and understand contracts and agreements.
Handle escalated issues timely and appropriately.
Oversee projects effectively.
Promote a positive working environment and influence others to embody the Citi Culture.
Citi is an equal‑opportunity employer. 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.
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