Client Workflow Supervision Supervisory Principal

The Client Workflow Supervision Supervisory Principal in Citi Global Wealth is a seasoned FINRA-licensed securities professional role responsible for executing day-to-day supervisory activities across a group of Bank-Based Registered Representatives.  Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and workflow within supervision.  Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives; this may include but is not limited to: Account Opening, Managed Account Review, Account Maintenance Requests, DOL PTE and Offshore Wealth Services related reviews. In addition, the role holder will be expected to work closely with a diverse group of support and control functions including Business Risk, Compliance, Operational Risk, Legal and Internal Audit.

Qualifications

• Relevant 6-10 years of supervisory experience in the financial industry; compliance or other risk management experience helpful
• Knowledge of Bank and broker-dealer business, regulatory requirements and related policy.
• Ability to work independently, execute on agreed upon timelines and work under pressure
• Ability integrating and balancing diverse priorities
• Strong networking, influencing and negotiating skills
• Excellent written and verbal communication skills
• Strong organizational and time management skills
• Proactive and Resourceful
• Excellent communication skills (oral and written) in English. Bilingual language skills a plus
• Excellent interpersonal and diplomacy skills
• Ability to see the big picture with high attention to critical details
• Proficiency in MS Office (Word, Excel, PowerPoint, Outlook), Pershing NetX360, Salesforce and other related business applications preferred  
• Required Securities Licensure:
  • Series 7 license; and
  • Series 63 and Series 65 or Series 66; and
  • Series 8 or Series 9 and Series 10 or Series 24, 4 and 53

Responsibilities:

• Ensure timely review of work items to meet team SLAs
• Build partnerships with supported Line of Business operations, Registered Reps, Sales Managers and Supervisory partners.
• Execute on projects and initiatives within agreed timeframes
• Interface, consult and advise Senior Management including, but not limited to, Compliance, AML, Sales Management.
• Assist on ad-hoc projects as assigned by Management.
• Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives
• Maintenance and retention of all relevant files within the functional requirements of the role
• Assist the Business in key policy adherence and monitoring
• Ensure timely and appropriate escalation of issues and maintain relevant metrics for reporting purposes
• Ensure adherence to the Citi Operational Risk Policy in regard to operational loss approvals and reporting.
• Escalate potential errors promptly in accordance with the Citi Escalation Policy.
• Ensure that the Business has a sound control environment including adherence to relevant policies where appropriate.
• Keep Senior Management aware of the risk and control environment of the Business through continuous and open communication with Senior Management to present and follow-up on issues, concerns and corrective action plans.
• Willing to partake in team lead responsibilities and mentorship of junior supervisory staff.

Education:

• Bachelor’s/University degree or equivalent experience, potentially Masters degree

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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.

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Anticipated Posting Close Date:

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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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