What are the responsibilities and job description for the Supervisory Principal position at Citi?
The Wealth Investment Services (WIS) Business Risk Senior Analyst role in Citi Global Wealth is a seasoned FINRA-licensed securities professional role responsible for executing day-to-day supervisory activities across a group of Registered Representatives (RR), including RRs in the WIS Call Center. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and workflow within supervision. Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives. In addition, the role holder will be expected to work closely with a diverse group of support and control functions including Business Risk, Compliance, Operational Risk, Legal and Internal Audit.
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
- 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 electronic files required by firm and regulatory policies
- Correspondence review and audit retention including incoming and outgoing letters, faxes and escalated email surveillance cases
- Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives
Qualifications:
- Relevant 3-5 years of supervisory experience in the financial industry; compliance or other risk management experience helpful
- 5 years’ experience in financial services.
- Knowledge of broker-dealer business, regulatory requirements and related policy.
- Ability to work independently, execute on agreed upon timelines and work under pressure
- Ability integrating and balancing diverse priorities
- Strong networking, influencing and negotiating skills
- Excellent written and verbal communication skills
- Strong organizational and time management skills
- Demonstrated ability to develop and implement strategy and process improvement initiatives.
- Third party vendor management preferred. Demonstrated ability to lead global team efforts
- Proactive and Resourceful
- Excellent communication skills (oral and written) in English. Bilingual language skills a plus (or required based on role)
- Excellent interpersonal and diplomacy skills
- Excellent problem solving skills Ability to see the big pictures with high attention to critical details
- Proficiency in MS Office (Word, Excel, PowerPoint, Outlook), Pershing NetX360, Actimize Surveillance, Salesforce and other related business applications preferred
- US Registered FINRA Series 7, 9 & 10 (or Series 4, 24, 53) and 66 (or Series 63 and 65) licenses required
Education:
- Bachelor’s/Master's University degree or equivalent experience
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Job Family Group:
Risk Management-------------------------------------------------
Job Family:
Business Risk & Control------------------------------------------------------
Time Type:
Full time------------------------------------------------------
Primary Location:
Jacksonville Florida United States------------------------------------------------------
Primary Location Salary Range:
$87,280.00 - $130,920.00------------------------------------------------------
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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Salary : $87,280 - $130,920
