Supervisory Principal C13

The Business Risk Officer role in Citi Global Wealth is a seasoned FINRA-licensed securities professional role responsible for executing day-to-day supervisory activities across a group of Registered Representatives.  Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and workflow within supervision.  Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives. In addition, the role holder will be expected to work closely with a diverse group of support and control functions including Business Risk, Compliance, Operational Risk, Legal and Internal Audit.

Responsibilities:

• Daily review of Actimize™ Sales Practices Monitoring trade blotter, alerts and electronic order tickets; periodic review of escalated matters from Compliance Surveillance department
• Review, resolution and approval of daily, weekly and monthly supervisory and surveillance reports in Pershing’s NetX360® supervisory platform
• Provide certain trade reviews and pre–approvals
• Review and approve certain operations–related and service requests, include trade errors and miscellaneous corrections
• Review for quality and completeness customer financial profile records, and identifies and resolves any discrepancies with sales and service personnel
• Maintains complete supervisory documentation in certain electronic files required by firm and regulatory policies
• Correspondence review and audit retention including incoming and outgoing letters, faxes and escalated email surveillance cases
• Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives

Qualifications:

• Relevant 6-10 years of supervisory experience in the financial industry; compliance or other risk management experience helpful
• MS Excel, MS Access, SAS, SQL, Visual Basic a plus. 5+ years’ experience in financial services.
• Knowledge of Bank and broker-dealer business, regulatory requirements and related policy.
• Ability to work independently, execute on agreed upon timelines and work under pressure
• Ability integrating and balancing diverse priorities
• Strong networking, influencing and negotiating skills
• Excellent written and verbal communication skills
• Strong organizational and time management skills
• Demonstrated ability to develop and implement strategy and process improvement initiatives.
• Third party vendor management preferred. Demonstrated ability to lead global team efforts
• Proactive and Resourceful
• Excellent communication skills (oral and written) in English. Bilingual language skills a plus (or required based on role)
• Excellent interpersonal and diplomacy skills
• Excellent problem solving skills Ability to see the big pictures with high attention to critical details
• Proficiency in MS Office (Word, Excel, PowerPoint, Outlook), Pershing NetX360, Actimize Surveillance, Salesforce and other related business applications preferred  
• US Registered FINRA Series 7, 9 & 10 (or Series 4, 24, 53) and 66 (or Series 63 and 65) licenses required

Education:

• Bachelor’s/University degree or equivalent experience, potentially Masters degree

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In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. 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. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

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Anticipated Posting Close Date:

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Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Citigroup Inc. and its subsidiaries ("Citi”) invite all qualified interested applicants to apply for career opportunities. 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.

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