Skip to main content

Careers

COVID-19:

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

Job Req ID 22470009 Primary Location Miami, Florida; Fort Lauderdale, Florida Job Category Risk Management
Apply Now

The Supervisory Principal is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and work-flow for the area or function. Integrates subject matter and industry expertise within a defined area. Requires in-depth understanding of how areas collectively integrate within the sub-function as well as coordinate and contribute to the objectives of the function and overall business. Evaluates moderately complex and variable issues with substantial potential impact, where development of an approach/taking of an action involves weighing various alternatives and balancing potentially conflicting situations using multiple sources of information. Requires good analytical skills in order to filter, prioritize and validate potentially complex and dynamic material from multiple sources. Strong communication and diplomacy skills are required. Regularly assumes informal/formal leadership role within teams. Involved in coaching and training of new recruits Significant impact in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization. Work and performance of all teams in the area are directly affected by the performance of the individual.

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 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:

  • 5-8 years in supervisory experience in financial services, control compliance or legal disciplines
  • Experience with NetX/Actimize
  • Excellent organizational skills.
  • Outstanding relationship building and relationship management skills
  • Consistently demonstrates clear and concise written and verbal communication skills
  • Proficient in Microsoft Office with an emphasis on MS Excel
  • Self-motivated, detail oriented and team player
  • Required licenses Series 9 & 10, 7, 65 & 63 (or 66)

Education:

  • Bachelor’s/University degree or equivalent experience

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

Job Family Group:

Risk Management

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

Job Family:

Business Risk & Controls

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

Time Type:

Full time

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

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.

View the "EEO is the Law" poster. View the EEO is the Law Supplement.

View the EEO Policy Statement.

View the Pay Transparency Posting

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

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.

Apply Now
  • Join our team
    of 220,000+
    strong diverse employees

  • Socially minded employees volunteering in communities across 90 countries

  • Meaningful career opportunities thanks to a physical presence in over 95 markets

We foster a culture that embraces all individuals and encourages diverse perspectives, where you can make an impact and grow your career. At Citi, we value colleagues that demonstrate high professional standards, a strong sense of integrity and generosity, intellectual curiosity, and rigor. We recognize the importance of owning your career, with the commitment that if you do, we promise to meet you more than half way.

Saved Jobs

You have no saved jobs

Previously Viewed Jobs

You have no viewed jobs