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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.

Regulatory Risk Sr Analyst

Job Req ID 21325424 Primary Location Miami, Florida; Dallas, Texas; Tampa, Florida Job Category Risk Management
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The Regulatory Risk Sr Analyst performs risk and supervision oversight duties in an identified geography or market where Citi Personal Investments International products are sold, and generally responsible for the shared oversight CPII Financial Advisors and Client Service Associates (CSA).  SPs enforce branch procedures to ensure compliance with securities industry and firm regulations.  In addition, SPs focus on sales practice and compliance issue identification, remediation and prevention. The Role reports to a CPII Regulatory Risk Senior Manager assigned to a particular marketplace within the Business Risk, Supervision & Control organization within CPII.

Key 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 

·      Review and approve new customer account requests, account maintenance requests 

·      Review and approve customer funds transfer instructions, including fed funds wires, check disbursements and securities transfers 

·      Review and approve new investment advisory account conversions and related paperwork 

·      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 physical files required by firm and regulatory policies 

·      Correspondence review and audit retention including incoming and outgoing letters, faxes and email surveillance 

Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives

Qualifications:

·      1–7 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 platform a plus 

·      (As applicable, depending on market coverage) – foreign language skills 

·      Required Securities Licenses: 

·      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

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Job Family Group:

Risk Management

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Job Family:

Regulatory Risk

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Time Type:

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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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View the EEO Policy Statement.

View the Pay Transparency Posting

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