Supervisory Principal VP, Citi

Citi

Location:
United States, New York, New York, Miami, Florida

Category:
Finance

Contract Type:
Not provided

Salary:

129840.00 - 194760.00 USD / Year

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Job Description:

The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family.

Job Responsibility:

Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives
this may include but is not limited to email surveillance, correspondence, marketing material, complaints, outside activities, licensing/registration, trade blotters, trade errors, management of OSJ files, etc.
Review and approval of new brokerage and managed accounts
Review and dispositioning of designated supervisory reports
Partner with Regional Supervisory Head and the Supervision team on the resolution of supervisory issues escalated
Review and approval of designated bank-channel and broker-dealer investments
Manage surveillance alerts within stated policy guidelines
Interface, consult with and escalate to Senior Management and partners including, but not limited to, Compliance, Legal, AML, Regional Business Risk, Regional COO and Sales Management
Assist with ad-hoc projects and/or workflow testing as assigned by Manager
Assist with coaching and training Registered Representatives when applicable
Assist with conducting of periodic control meetings
Assist with audits/examinations when applicable

Requirements:

Relevant experience in Capital financial industry
compliance/supervisory/business risk experience preferred
FINRA Series 7, 66 (63/65), 24 and 31. Series 9/10 also preferred
Knowledge of Bank and Broker-Dealer businesses, regulatory requirements and related policy
Knowledge of Investment products including complex products (Alternatives, Structured Notes and Derivatives)
Ability to assess and balance diverse priorities
Strong networking, influencing and negotiating skills
Strong analytical skills
Excellent written and verbal communication skills in English required. Spanish and Portuguese preferred
Strong organizational and time management skills
Excellent interpersonal and diplomacy skills
Ability to work independently and execute on agreed upon timelines
Experience contributing to internal/external audits preferred
Excellent problem solving skills. Ability to see the big picture with high attention to critical details
Demonstrated ability to contribute to/participate in process improvement initiatives
Bachelor’s/University degree or equivalent experience

Nice to have:

Spanish and Portuguese preferred
Experience contributing to internal/external audits preferred

What we offer:

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

Additional Information:

Job Posted:
August 16, 2025

Expiration:
August 22, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Supervisory Principal VP