Citi Group Supervisory Principal C13 

Honduras, Copán 

185892497

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 6-10 years of supervisory experience in the financial industry; compliance or other risk management experience helpful
• MS Excel, MS Access, SAS, SQL, Visual Basic a plus. 5+ years’ experience in financial services.
• Knowledge of Bank and 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/University degree or equivalent experience, potentially Masters degree

Anticipated Posting Close Date:

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