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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 22483770 Primary Location San Antonio, Texas; O'Fallon, Missouri; Jacksonville, Florida; New York, New York Job Category Risk Management
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Description

Citi Wealth Management provides financial planning and wealth management services via our branch-based Financial Advisors and Centralized service centers. Citi is leading efforts to dramatically expand our personal wealth management capabilities and provide customers with simple, transparent solutions. The goal for Citi Wealth Management is to lead the industry in client-centric investments.

Reporting to the Senior Supervisory Principal on the Client Workflow Supervision team, the Supervisory Principal is accountable for supervisory review of account opening, managed accounts, asset movements and maintenance requests across Wealth Management.  The role will specialize in the requirements of account opening supervision encompassing FINRA rules 2090, Patriot Act, KYC policy and screening reviews/exception approvals.

Key Responsibilities:

  • Review and approval of account opening and managed accounts across CWM national footprint; operate in accordance with SLAs by client segment
  • Requires excellent analytical skills in order to filter, prioritize and validate potentially complex material from multiple sources
  • Build partnerships with supported Line of Business operations and Wealth Advisors, Client Service Associates, Sales Managers, and Regional Risk & Supervision Officers
  • Keep 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
  • Review designated supervisory reports for potential fraud and adherence to policies and procedures

Qualifications:

  • 1-3 years of experience (in a similar role); 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
  • 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
  • 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

Education:

  • Bachelor’s/University degree or equivalent experience

Licenses:

  • SEI, Series 7, 63, 65 (or 66), 9/10 (or 24)

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Job Family Group:

Risk Management

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Job Family:

Business Risk & Controls

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Time Type:

Full time

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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.

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

View the EEO Policy Statement.

View the Pay Transparency Posting

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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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