Citi Group Global Wealth CAO - Business Risk Intermediate Associate Analyst 

United States, Florida, Tampa 

621414682

Primarily responsible for day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer/RIA and insurance agency business; coordination of the day-to-day activities of the complaint intake function for Citi's broker-dealer, Citigroup Global Markets (“CGMI”); assistance with the creation of control reporting of data associated with CGMI customer complaints. This process requires a good degree of detail, subject matter expertise, and some familiarity with investment products/characteristics.Responsibilities:

• Supporting teams with compliance and control; partners with operations, risk, compliance, legal and other entities to ensure accuracy and validity of published procedures.
• Documents policy and procedure within regulatory requirements in addition to Information Security policies and procedures.
• Updates project tasks regularly and accurately
• Prioritizes and completes deliverables timely
• Facilitates conference calls
• 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:

• 2-5 years of relevant experience
• Collaboration and communication skills.
• Time management and organizational skills.
• Ability to successfully interact with varying personalities and challenge others while maintaining strong partnerships.
• Problem solving skills ability to see the big pictures with high attention to critical details.
• Experience in policy adherence, control effectiveness, and open communication.
• Ability to demonstrate proficiency with Microsoft Excel, Word, Outlook.

Education:

• Bachelor’s/University degree or equivalent experience

Supports the customer complaint intake function of Citigroup Global Markets, Inc.; responsible for carrying out the day-to-day process of intake/close out of verbal and written client complaints for the retail broker dealer/RIA and insurance agency business. This position requires a working knowledge of FINRA customer complaint regulatory requirements as well as high attention to detail. A high degree of independent judgment and decision making with regard to the accurate analysis of each customer complaint to determine the nature of the allegations, identification of the correct FINRA problem and product codes and, more substantively, the determination of whether there is any regulatory reporting required, under the management and oversight of a Team Manager. Is responsible for implementing policies and procedures and maintaining the correctness of information and details entered into the complaint management application. Applies subject matter knowledge and professional judgment to independently analyze matters and transactions. Is able to interpret and analyze complaint data metrics and generate regular and ad hoc control reporting to various business units. Identifies inconsistencies in data and formulates solutions and options. Under the direct oversight of the Team Manager, assists with the preparation and submission of the broker-dealer's regulatory reporting, including but not limited to Form U-4 and U-5 amendments and quarterly 4530 reporting to FINRA. From time to time, the incumbent may also be called upon to assist and/or handle other duties related to internal inquiries, audit requests, and FINRA regulatory matters.

Anticipated Posting Close Date:

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