Citi Group Business Risk Officer 

United States, New York, New York 

189432407

Responsibilities:

• Correspondence reviews
• Assist in the resolution of investment-related complaints
• Responsible for review of escalated surveillance issues.
• Review and approval of Marketing Material (if applicable)
• Review and approval of Outside Investments and Activities (if applicable)
• Monitor Licensing and Registration requirements
• Post-trade blotter reviews
• Management of trade errors and corrections
• Manage and maintain OSJ (Office of Supervisory Jurisdiction) files
• Review and approval of new brokerage and managed accounts
• Review and dispositioning of designated suitability alerts and breaks within policy guidelines
• Review and approve client suitability profiles (if applicable)
• Partner with Regional Supervisory Principal and Regional Supervisory Head and team on the resolution of escalated supervisory issues
• Review and pre-trade approval of designated bank-channel and broker-dealer investments
• 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 UAT testing as assigned by Manager
• Assist with coaching and training Registered Representatives when applicable
• Conduct periodic mandatory supervisory meetings
• Assist with audits, examinations, testing and regulatory inquiries when applicable

Qualifications:

• Relevant 6-10 years of supervisory experience in the financial industry;compliance or other risk managementexperience helpful
• FINRA Series 7, 66 (or 63 and 65), 24 (and/or 9/10) and 31; Series 3 or 4 a plus
• Willingness to obtain any missing licenses within 120 days of hire
• Knowledge of Bank and Broker-Dealer businesses
• Strong knowledge and experience in complex investment products such as Alternatives, Structured Products and Derivatives)
• Ability to multi-task, assess and balance diverse priorities
• Strong networking, influencing and negotiating skills
• Strong analytical skills
• Excellent written and verbal communication skills
• Strong organizational and time management skills
• Excellent interpersonal and diplomacy skills
• Ability to work independently, execute on agreed upon timelines and work under pressure
• Experience in internal/external audit management preferred
• Strong problem-solving skills
• Ability to see the big picture with high attention to critical details
• Demonstrated ability to contribute to/participate in process improvement initiatives
• Proficiency in MS Office (primarily Excel), Pershing NetX360, Actimize Surveillance, Salesforce and other related business applications preferred

• Bachelors/UniversityDegree or equivalent experience

Anticipated Posting Close Date:

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