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Head of Capital Markets Risk Oversight

Head of Capital Markets Risk Oversight

National Black MBA AssociationNew York, NY, United States
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About the Role :

This is a senior leadership position within Banking & International Risk responsible for providing independent and credible challenge to the First Line of Defence on capital markets activities. The successful candidate will serve as the senior Risk representative on the firm's newly formed Financing Commitment Forums (FCFs) , which reviews and approves new debt and equity issuance transactions for the bank's clients.

The Managing Director will play a critical role in evaluating and challenging transactions on behalf of the firm, ensuring they adhere to the bank's risk appetite and global regulatory standards. This involves a deep understanding of market trends, regulatory requirements, and the specific risks associated with underwriting complex transactions.

Key Responsibilities :

  • Strategic Risk Leadership : Act as a key advisor to the Equity and Debt Commitment Council and senior management on risk-related aspects of client debt and equity issuance, including Initial Public Offerings (IPOs), secondary offerings, and fixed income deals.
  • Independent Oversight and Challenge : Provide independent, expert-level review and effective challenge of the First Line's due diligence, transaction risk assessment, and proposed mitigants for capital markets transactions.
  • Transaction Integrity and structure : Review and challenge covenants, investors protections, disclosure quality and alignment with credit view
  • Risk Evaluation : Work with key stakeholders across 2LoD to thoroughly assess and analyze risks associated with each transaction, including :

Conflict of interest : Make sure the bank’s role as underwriter, lender or advisor isn’t conflicted.

  • Reputational Risk : Assess the potential impact of a transaction on the bank's reputation, considering factors such as client conduct and business practices.
  • Operational Risk : Review operational processes and controls to identify any vulnerabilities related to the issuance process.
  • Compliance Risk : Ensure that all activities comply with regulatory requirements, including KYC (Know Your Customer) and global anti-money laundering (AML) standards.
  • Policy and Framework Management : Contribute to the development, review, and approval of the firm's global risk management frameworks and policies related to underwriting and capital markets.
  • Stakeholder Engagement : Build strong, collaborative, and constructive relationships with senior leaders across Investment Banking, Compliance, Legal, and other control functions.
  • Training and Mentoring : Act as a subject matter expert, providing mentorship and guidance to junior risk professionals within the organization.

    • Qualifications :

  • Extensive Experience : 15+ years of experience in risk management, compliance, or capital markets, with a focus on investment banking or corporate finance.
  • Deep Expertise : In-depth knowledge of investment banking products, including debt and equity underwriting, and a strong understanding of the associated financial, regulatory, and reputational risks.
  • Regulatory Acumen : A comprehensive understanding of relevant regulatory environments, such as the SEC and Federal Reserve rules.
  • Analytical Skills : Exceptional analytical and quantitative skills to interpret complex data, financial models, and perform scenario analysis.
  • Strong Leadership : Proven leadership abilities to challenge senior stakeholders effectively, influence outcomes, and provide authoritative risk counsel.
  • Communication Skills : Superior communication and presentation skills, with the ability to articulate complex risk issues to both technical and non-technical audiences.
  • Education : Bachelor's degree in finance, economics, or a related field required. Advanced degrees (e.g., MBA, Master's in Risk Management) or certifications (e.g., FRM, CFA) are highly desirable.

    • Citi offers competitive employee benefits, including : medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays.

    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.

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    Risk Risk Oversight • New York, NY, United States