Citi Group Wealth Supervision License & Registration Officer 

United States, District of Columbia, Washington 

241724994

Responsibilities:

• Responsible for managing and supporting multiple risk and control programs for the organization including defining the strategy, approach, processes, quality, tools and reporting that provide global risk management consistency and excellence.

• Works closely with business partners on findings and makes recommendations on improving practices.
• Examines procedures for consistency and gaps relative to regulations in addition to impacts on customer experience.
• Conducts internal testing of dispute processes to ensure WLRSU Procedures are updated.
• Monitors exceptions to dispute policy and identifies drivers of exceptions.
• Has the ability to operate with a limited level of direct supervision.
• Can exercise independence of judgement and autonomy.
• Acts as SME to senior stakeholders and /or other team members.
• 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.
• Perform daily reviews of reports to support the WLRSU Team to ensure Wealth RRs registration is compliant with FINRA Rules

Qualifications:

• FINRA Series 7, 9,10,63,65
• 6-10 years relevant work experience in Business Risk & Controls
• Advanced skills in; Excel, PowerPoint, SharePoint, Adobe. Knowledge in Visio,Tableu a plus.
• FINRA License and Registration experience a plus
• Consistently demonstrates clear and concise written and verbal communication skills
• Effective organizational influencing skills required.
• Excellent problem solving skills Ability to see the big pictures with high attention to critical details
• Demonstrated ability to develop and implement strategy and process improvement initiatives.

Education:

• Bachelor’s/University degree or equivalent experience, potentially Masters degree

Anticipated Posting Close Date:

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