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The health and safety of our colleagues and candidates for employment are our highest priority. Accordingly, Citi continues to monitor the COVID-19 situation closely. We have implemented precautionary measures across our firm globally, including conducting all candidate interviews virtually on a temporary basis until further notice where needed.

Supervisory Principal - Operations Support Intermediate Analyst

Job Req ID 22450948 Primary Location Jacksonville, Florida; San Antonio, Texas; Florence, Kentucky Job Category Operations - Core
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Citi Consumer Wealth Management (CWM) offers wealth management services via our branch-based Wealth Advisors and Centralized Service and Call Centers. CWM will lead efforts to dramatically expand our personal wealth management capabilities and provide customers with simple, transparent solutions. The goal for CWM is to lead the industry in client-centric investments.

Reporting to the Senior Supervisory Principal in the Business Risk & Control Field Supervision organization, the Supervisory Principal is accountable for supervision oversight duties for Licensed Call Center Representatives with Wealth Investments Services. The Supervisory Principal enforces supervisory procedures to ensure compliance with securities industry and firm regulations.  In addition, Supervisory Principal focuses on sales practice and compliance issue identification, remediation and prevention. 


  • Correspondence review and audit retention including incoming and outgoing letters, faxes and email surveillance
  • Review and approval of certain operations–related and service requests, including trade errors and miscellaneous corrections
  • Provide certain trade reviews and pre–approvals
  • Some external communication may be necessary, e.g. supervisory client outreach
  • Review, resolution and approval of daily, weekly and monthly supervisory and surveillance reports
  • Maintains complete supervisory documentation in certain physical files required by firm and regulatory policies
  • Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives


  • 1-3 years of experience (in a similar role); experience with a bank–based broker/dealer a plus
  • Excellent project management skills
  • Strong organizational skills and detailed oriented
  • Strong analytical skills
  • Outstanding interpersonal and communication skills (both written and verbal)
  • Analytical approach to problem-solving
  • Ability to multi-task, work under pressure and meet deadlines
  • Solid work ethic, professional, and a positive attitude
  • BA/BS or equivalent work experience
  • Strong computer skills, including a knowledge of Microsoft Word, Excel, SharePoint; experience with the Actimize™ Sales Practices Monitoring, Netx360 and Salesforce platform experience a plus

Required Securities Licensure:

  • Series 7 license; and
  • Series 63 and Series 65 or Series 66; and
  • Series 9 and Series 10 or Series 24 and Series 4 and Series 53


Job Family Group:

Operations - Core


Job Family:

Operations Support


Time Type:

Full time


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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.

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Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.

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