Citigroup Supervisory Principal in New York, New York
The Business Risk Senior Analyst is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and work-flow for the area or function. Integrates subject matter and industry expertise within a defined area. Requires in-depth understanding of how areas collectively integrate within the sub-function as well as coordinate and contribute to the objectives of the function and overall business. Evaluates moderately complex and variable issues with substantial potential impact, where development of an approach/taking of an action involves weighing various alternatives and balancing potentially conflicting situations using multiple sources of information. Requires good analytical skills in order to filter, prioritize and validate potentially complex and dynamic material from multiple sources. Strong communication and diplomacy skills are required. Regularly assumes informal/formal leadership role within teams. Involved in coaching and training of new recruits Significant impact in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization. Work and performance of all teams in the area are directly affected by the performance of the individual.
Perform a daily review of retirement account transactions, including but not limited to
Asset and cash movement
Review and approval of new accounts including managed programs
Designated supervisory reports
Work closely with supervisory team on compliant filing, reporting
Partner with Regional Supervisory Principals in the resolution of supervisory items escalated and raised.
Review and approval of bank-channel and broker dealer investments
Manage surveillance inquiries within policy stated guidelines
Interface, consult and advise Senior Management including, but not limited to, Compliance, AML, Sales Management.
Assist on ad-hoc projects as assigned by Management.
Execute on projects and initiatives within agreed timeframes
Relevant 2-5 years of experience in financial industry; compliance experience helpful, but not required
FINRA Series 24, 7, 66 (63/65), 31. Preferably 9/10
Knowledge of Bank and broker-dealer business, regulatory requirements and related policy.
Knowledge of retirement accounts and familiarity around ERISA code governing retirement accounts
Ability integrating and balancing diverse priorities
Strong networking, influencing and negotiating skills
Excellent written and verbal communication skills
Proactive and Resourceful
Excellent communication skills (oral and written) .
Excellent interpersonal skills
- Bachelor’s/University degree or equivalent experience
Job Family Group:
Business Risk & Controls
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