Supervisory Principal

The Markets Supervisory Officer will be responsible for:

• Overseeing Investment Activities:   Candidate will be responsible for providing oversight of various activities performed by the trade desks.   Candidate must adept at working in a fast paced and dynamic environment.  Strong people skills, excellent oral and written communication skills and ability to influence others is key.   Strong product knowledge of Equity, Fixed Income, FX and structured products is required.   Knowledge of Rates & other Derivatives a plus.    
• Supervisory Oversight:  Reviewing escalated surveillance issues, performing transaction surveillance, providing compliance/supervisory guidance to sales & trading teams, and maintaining and enhancing the control and supervisory culture. 
• Regulatory Compliance: Monitoring regulatory developments, managing communications review and approval, and ensuring adherence to policies and standards.
• Key Activities:
  • Review and approval of  brokerage and capital markets activities, including business affiliations, personal trading and outside business activities. 
  • Managing, reviewing, and approving syndicate offerings including equity, fixed income and structured products. 
  • Assist with oversight of trading systems, rules engines and platforms used by Wealth Markets traders
  • Direct engagement with trade error remediation, reporting, escalation, tracking & metrics
  • Participating in and leading calls on Capital Markets topics.
  • Monitoring continuing education and licensing requirements.
  • Maintaining files associated with the OSJ (Office of Supervisory Jurisdiction).
  • Assisting with various delegated tasks, projects, audits, compliance testing, and regulatory inquiries.
  • Interfacing with Legal, Compliance, and Control partners.
  • Assist with resolution of client complaints.
  • Understanding various trading platforms and systems.
  • Assisting with developing and contributing to system control enhancements across the business, systems, and platforms.

Qualifications and Experience

• Significant experience in Capital Markets and the financial industry.
• Cross-disciplinary knowledge of compliance, operations, trading
• Required Licenses: Series 7, 9/10, 31, 63 & 65 (or 66). Candidates willing to obtain missing licenses within 120 days are also encouraged to apply.   Series 24, 4 in lieu of 9/10. 
• Strong teamwork orientation.
• Excellent written and verbal communication skills.
• Project management skills.
• Ability to work under pressure, meet deadlines, and multitask in a fast-paced environment.
• Proactive and resourceful attitude.

Skills and Competencies

• Excellent relationship-building, facilitation, and presentation skills.
• Ability to identify issues and trends, evaluate alternatives, and recommend solutions.
• Strong organizational and time management skills.
• Ability to interact effectively with Senior Management.

------------------------------------------------------

Job Family Group:

------------------------------------------------------

Job Family:

------------------------------------------------------

Time Type:

------------------------------------------------------

Primary Location:

------------------------------------------------------

Primary Location Full Time Salary Range:

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.

------------------------------------------------------

Anticipated Posting Close Date:

------------------------------------------------------

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.

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.