Cross-disciplinary Controls Lead Analyst, Citi

Citi

Location:
United States, San Antonio

Category:
Finance

Contract Type:
Employment contract

Salary:

103920.00 - 155880.00 USD / Year

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Job Description:

The Cross-Disciplinary Controls Lead Analyst for the Client Workflow Supervision Team in Citi Global Wealth is a seasoned FINRA-licensed securities professional role responsible for executing day-to-day supervisory activities across a group of Bank-Based Registered Representatives. They will perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives, work closely with various control functions, and ensure the business maintains a sound control environment.

Job Responsibility:

Ensure timely and appropriate escalation of issues and maintain relevant metrics for reporting purposes
Build partnerships with supported Line of Business operations, Registered Reps, Sales Managers and Supervisory partners
Execute on projects and initiatives within agreed timeframes
Interface, consult and advise Senior Management including, but not limited to, Compliance, AML, Sales Management
Assist on ad-hoc projects as assigned by Management
Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives
Maintenance and retention of all relevant files within the functional requirements of the role
Assist the Business in key policy adherence and monitoring
Ensure adherence to the Citi Operational Risk Policy in regard to operational loss approvals and reporting
Escalate potential errors promptly in accordance with the Citi Escalation Policy
Ensure that the Business has a sound control environment including adherence to relevant policies where appropriate
Keep Senior Management aware of the risk and control environment of the Business through continuous and open communication with Senior Management to present and follow-up on issues, concerns and corrective action plans
Willing to partake in team lead responsibilities and mentorship of junior supervisory staff

Requirements:

Relevant 6-10 years of supervisory experience in the financial industry
compliance or other risk management experience helpful
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
Proactive and Resourceful
Excellent communication skills (oral and written) in English. Bilingual language skills a plus
Excellent interpersonal and diplomacy skills
Ability to see the big picture with high attention to critical details
Proficiency in MS Office (Word, Excel, PowerPoint, Outlook), Pershing NetX360, Salesforce and other related business applications preferred
Required Securities Licensure (depending on role select from the following): Series 7 license
and Series 63 and Series 65 or Series 66
and Series 8 or Series 9 and Series 10 or Series 24

Nice to have:

Bilingual language skills a plus
Proficiency in Pershing NetX360, Salesforce and other related business applications preferred

What we offer:

Medical, dental & vision coverage
401(k)
Life, accident, and disability insurance
Wellness programs
Paid time off packages (vacation, sick leave, paid holidays)
Discretionary and formulaic incentive and retention awards

Additional Information:

Job Posted:
May 02, 2025

Expiration:
May 07, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Cross-disciplinary Controls Lead Analyst