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Citi Group Supervisory Principal C13 
Honduras, Copán 
185892497

16.08.2024

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
Risk Management

Full timeFort Lauderdale Florida United States$107,120.00 - $160,680.00


Anticipated Posting Close Date:

Aug 21, 2024

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