Citi Group Equities Supervisory Risk Control Senior Business Associate VP New York 

United States, New York, New York 

455041442

Responsibilities:

• Responsible for operating, developing, enhancing, and innovating Regulatory controls and processes to ensure thorough Supervision of Trading Activities in Equities 1LoD.
• Understand and support key Regulatory policy and control initiatives. Perform daily regulatory reporting processes as required to be in compliance with internal or regulatory initiatives.
• Identify best practices, key control/governance policies, procedures, and documentation requirements.
• Develop a thorough understanding of the Citi Equities Business and build connections with the Trading and Sales Desks. Network and collaborate with all supporting teams including Middle Office, Product Control, Business Management, Technology, Compliance, Market Risk, and other In-Business Risk teams.
• Understand business priorities and requirements while developing solutions. Identify improvement opportunities in process architectural design and workflows based heavily in Excel and SQL-based data systems.
• Supports database management processes and routines. Develops comprehensive solutions in SQL and data querying tools to enhance the efficiency and effectiveness of current review processes.

Qualifications:

• 6-10 years of experience in a financial services role
• Strong knowledge of FINRA/SEC Regulatory Rules such as Reg NMS, Reg SHO, Options Trading Rules, and other Venue Specific Exchange Rules
• Critical, analytical thinking skills driven by strong desire to problem solve
• Proven ability to work in high-pressure environments
• Consistently demonstrate clear and concise written and verbal communication
• High energy, self-starter with a flexible, pragmatic attitude and desire for continued progress
• Driven, methodical approach to organizing processes; capable of prioritizing and multi-tasking in a dynamic environment
• Appropriately assess risk in all decisions while being continually mindful of all negative consequences, likelihood for each, and means to neutralize
• Strong interpersonal skills with a demonstrated ability to collaborate effectively with a wide variety of people across multiple functions, regions, and levels of seniority to deliver results
• Knowledge of and interests in finance, markets, risk management
• Advanced knowledge of Microsoft Excel, Word, Powerpoint, and SQL is required

Education:

• Bachelor’s Degree/University degree or equivalent experience
• Master’s degree preferred

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

Anticipated Posting Close Date:

View the " " poster. View the .

View the .

View the