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IPB US Regulatory Risk Senior Officer

  • Primary Location: United States,California,San Francisco
  • Education: Bachelor's Degree
  • Job Function: Risk Management
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: Yes, 10 % of the Time
  • Job ID: 19029950


About Citi

Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients. 

Citi’s Mission and Value Proposition explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients’ and the public’s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities. 

Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.

About the Role

The Supervisory Principal (SP) performs risk and supervision oversight duties in an identified geography or market where Citi Personal Investments International products are sold, and generally responsible for the shared oversight of 10–20 CPII Financial Advisors (FA) and 5–10 Client Service Associates (CSA).SPs enforce branch procedures to ensure compliance with securities industry and firm regulations.In addition, SPs focus on sales practice and compliance issue identification, remediation and prevention. The Role reports to a CPII Regulatory Risk Senior Manager assigned to a particular marketplace within the Business Risk, Supervision & Control organization within CPII.

Key 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 customer account requests, account maintenance requests

  • Review and approve customer funds transfer instructions, including fed funds wires, check disbursements and securities transfers

  • 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


  • 1–7 years of experience (in a similar role); experience with a bank–based broker/dealer a plus

  • Excellent project management skills

  • 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

  • (As applicable, depending on market coverage) – foreign language skills

  • Required Securities Licensure:

    • Series 7 license; and

    • Series 63 and Series 65 or Series 66; and

    • Series 9 and Series 10 or Series 24 and Series 4 and Series 53