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CPWM Client Workflow -- Asset Movement & Maintenance -- Supervisory Principal

Job Req ID 22559045 Location(s) San Antonio, Texas; O'Fallon, Missouri; Jacksonville, Florida; Florence, Kentucky; Tampa, Florida; New York, New York Job Category Risk Management
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Reporting to the Senior Supervisory Principal,   the Supervisory Principal will be responsible for asset movement and for account maintenance.  Asset movements includes but is not limited to bank sends and bank receives, processing checks and journals, ACH money movements and Fed Funds Wires.  Account Maintenance includes but is not limited to updates to account information including investment profile changes, changes to account information, and review/approval of associated reports.

This role is responsible processing these money movements and account maintenance requests across CPWM’s national footprint. The role will specialize in enforcing the requirements of Retail Distribution of Investment Policy as relates to client profile updates, as well as sanctions regulations and fraud detection concerning asset movements.

Key Responsibilities:

  • Asset movements & client profile update  function across CPWM national footprint; operate in accordance with SLAs by client segment
  • Builds partnerships with supported Line of Business operations and Financial Advisors, Client Service Associates, Sales Managers, and Regional Risk & Supervision
  • Keeps abreast of the organization’s operational processes and best practices for business strategy
  • Some external communication may be necessary, e.g. supervisory client outreach
  • Monitor to ensure adherence to operational controls, including legal, corporate and regulatory procedures to ensure the safety and security of client and firm assets.


  • 5-8 years of experience; experience with a bank–based broker/dealer a plus
  • 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
  • Strong computer skills, including a knowledge of Microsoft Word, Excel, SharePoint; experience with the Actimize™ Sales Practices Monitoring platform a plus
  • Netx360 and SalesForce experience a plus
  • Bilingual language skills a plus
  • 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
    • Series 4 and Series 53 a plus


  • BA/BS or equivalent work experience


Job Family Group:

Risk Management


Job Family:

Business Risk & Controls


Time Type:

Full time


Primary Location:

San Antonio Texas United States


Primary Location Salary Range:

$81,160.00 - $121,750.00


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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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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