Equities Business Risk and Control - C13 VP Job at Citi (Getzville)

Job Description

Equities Supervisory Risk and Control position supports a trading and sales environment in relation to US Regulatory Rules as defined by FINRA and the SEC. The position is for a highly energized, dynamic professional who is ready to join a fast-paced, world leader in the financial services industry. The successful candidate will work with Equities Business Management, Middle Office, Operations, Technology, Compliance, Internal Audit, Financial Control and Legal Departments. The position will report to the Director responsible for the team.

Job Responsibility

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 Markets 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

Requirements

6-10 years of experience in a financial services role
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
Bachelor's/University degree, Master's degree preferred

What we offer

medical, dental & vision coverage
401(k)
life, accident, and disability insurance
wellness programs
paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays

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Equities Business Risk and Control - C13 VP

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