Citi Group Supervisory Principal 

United States, District of Columbia, Washington 

199851193

The Business Risk Officer is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and the business. Excellent communication skills required in order to negotiate internally, often at a senior level. Developed communication and diplomacy skills are
required in order to guide, influence and convince others, in particular registered representatives and colleagues in other areas including product, legal & compliance. Accountable for ensuring investments sales are in line with suitability standards.Responsibilities:

•Supervise Registered Representatives to ensure they are adhering to bank policies related to Suitability, Communication with the Public, Outside Activity policies, Employee trading policy, etc.
• New investment account and product recommendation reviews & approvals in compliance with Regulation Best Interest, FINRA 2111 and Department of Labor Rules
• Alternative Investments approvals for suitability of Complex products
• Conduct monthly Supervisory meetings for the RRs to ensure advisors are informed of changes in regulations, policies, procedures
• Keep Management aware of the risk and control environment of the Business through continuous and open communication with Senior Management to present and follow-up on issues, concerns and corrective action plans.
• Assist the Business in key policy adherence and monitoring
• Maintain an efficient OSJ that is prepared to receive an annual Branch Examination Overall Assessment: Sufficient Assurance
• Serve as main point of contact for audit groups and ensure that all audit requests are timely and appropriately provided.
• Ensure adherence to the Citi Operational Risk Policy in regard to operational loss approvals and reporting.
• Escalate potential errors promptly in accordance with the Citi Escalation Policy
• Ensure that the Business has a sound control environment including adherence to relevant policies where appropriate.
•Review escalated emails from surveillance monitoring group and assess appropriate policy or regulatory breach
• Responsible for the coordination of key projects, including ensuring that Investment Objective Settings (IOS) periodic reviews are timely executed.
• Serve as a main point of contact for the Registered Representatives that the daily investment activities are completed timely and in accordance to firm and regulatory guidelines.
• Perform Annual Registered Rep reviews
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications and Experience Required

Series 7, 9/10, 24, 31, 63 & 65 (or 66) - ( if one of the license requirements is missing, willing to obtain within 150 days of hire)

• Relevant experience in Capital markets and financial industry; compliance experience helpful

• Team work oriented

• Excellent written and verbal communication skills

• Project management skills

• Ability to work under pressure and meet deadline

• Proactive, resourceful and recilient

Skills and Competencies

• Excellent relationship, facilitation and presentation skills, and ability to interact with as well as all levels of Citi management

• Ability to identify issues and trends, evaluate alternatives and recommend comprehensive and innovative solutions

• Organized and process oriented

• Proficient in Microsoft Office, Pershing NetX360, NICE Actimize Surveillance and other related business systems a plus.

• Potential travel to other offices in region

Anticipated Posting Close Date:

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