24772407 Global Wealth CAO - Business Risk Intermediate Associate Analyst

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Job Overview

Supports the customer complaint intake function of Citigroup Global Markets, Inc.; responsible for carrying out the day-to-day process of intake/close out of verbal and written client complaints for the retail broker dealer/RIA and insurance agency business.  This position requires a working knowledge of FINRA customer complaint regulatory requirements as well as high attention to detail.  A high degree of independent judgment and decision making with regard to the accurate analysis of each customer complaint to determine the nature of the allegations, identification of the correct FINRA problem and product codes and, more substantively, the determination of whether there is any regulatory reporting required, under the management and oversight of a Team Manager. Is responsible for implementing policies and procedures and maintaining the correctness of information and details entered into the complaint management application. Applies subject matter knowledge and professional judgment to independently analyze matters and transactions. Is able to interpret and analyze complaint data metrics and generate regular and ad hoc control reporting to various business units. Identifies inconsistencies in data and formulates solutions and options. Under the direct oversight of the Team Manager, assists with the preparation and submission of the broker-dealer's regulatory reporting, including but not limited to Form U-4 and U-5 amendments and quarterly 4530 reporting to FINRA.  From time to time, the incumbent may also be called upon to assist and/or handle other duties related to internal inquiries, audit requests, and FINRA regulatory matters.

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Job Family Group:

Compliance and Control

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Job Family:

Business Control

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Time Type:

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Primary Location:

Tampa Florida United States

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Primary Location Full Time Salary Range:

$62,620.00 - $87,380.00

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:

Aug 16, 2024

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