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Business Risk Officer

Job Req ID 22435612 Primary Location New York, New York Job Category Risk Management
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The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family.


  • Responsible for the direct supervision of  investment sales activities in the designated Office of Supervisory Jurisdiction (OSJ)
  • Review and approval of new brokerage and managed accounts including Retirement accounts. 
  • Perform daily reviews in support of the OSJ and its Registered Representatives; this may include but is not limited to, email surveillance, correspondence, marketing materials, complaints, outside activities, licensing/registration.
  • Review and dispositioning of designated supervisory reports
  • Partner with Regional Supervisory Head and the Supervision team on the resolution of escalated supervisory issues
  • Review and approval of designated bank-channel and broker-dealer investments
  • Manage surveillance alerts within stated policy guidelines
  • Interface, consult with and escalate to Senior Management and partners including, but not limited to, Compliance, Legal, AML, Regional Business Risk, Regional Business Management and Sales Management
  • Assist with ad-hoc projects and/or work-flow and system testing as assigned by manager 
  • Assist with conducting periodic control meetings as well as audits and examinations.
  • Qualifications:
  • 7, 9, 10, 24, 66 (63 and 65) FINRA licenses - if missing one of these required licenses, ability to obtain
  • 5 + years relevant work experience in Supervision or financial services
  • MS Excel, MS Access, SAS, SQL, Visual Basic a plus. 
  • Effective organizational influencing skills required.
  • Demonstrated ability to develop and implement strategy and process improvement initiatives.
  • Strong organizational and time management skills
  • Ability to work independently and execute on agreed upon timelines
  • Excellent problem-solving skills, with high attention to critical details. 
  • Demonstrated ability to contribute to/participate in process improvement initiatives
  • Knowledge of bank and broker-dealer business, regulatory requirements and related policies
  • Knowledge of retirement accounts and familiarity around ERISA code governing retirement accounts
  • Ability integrating and balancing diverse priorities


  • Bachelor’s/University degree or equivalent experience


Job Family Group:

Risk Management


Job Family:

Business Risk & Controls


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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