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Client Workflow Supervision -- Supervisory Principal

Job Req ID 22482009 Primary Location Tampa, Florida; San Antonio, Texas Job Category Risk Management
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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


  • 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


  • Bachelor’s/University degree or equivalent experience


Job Family Group:

Risk Management


Job Family:

Business Risk & Controls


Time Type:

Full time


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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.

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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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