Supervisory Principal

Supervisory Principal

Working at Citi is far more than just a job. A career with us means joining a team of more than 230,000 dedicated people from around the globe. At Citi, you'll have the opportunity to grow your career, give back to your community and make a real impact.

Job Overview

The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business.

Responsibilities :

• Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives; this may include but is not limited to email surveillance, correspondence, marketing material, complaints, outside activities, licensing / registration, trade blotters, trade errors, management of OSJ files, etc...
• Review and approval of new brokerage and managed accounts
• Review and dispositioning of designated supervisory reports
• Partner with Regional Supervisory Head and the Supervision team on the resolution of supervisory issues escalated
• Review and approval of designated bank-channel and broker-dealer investments
• Manage surveillance alerts within stated policy guidelines
• Interface, consult with and escalate to Senior Management and partners including, but not limited to, Compliance, Legal, AML, Regional Business Risk, Regional COO and Sales Management
• Assist with ad-hoc projects and / or workflow testing as assigned by Manager
• Assist with coaching and training Registered Representatives when applicable
• Assist with conducting of periodic control meetings
• Assist with audits / examinations when applicable

Qualifications :

Education :