Citigroup, Inc

Supervisory Principal VP

Citigroup, Inc • $107K — $160K *
Miami, FL 33186In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 5-7 years of experience in the capital financial industry, especially in compliance and business risk
  • Required FINRA Series 7, 66, 24, and 31 licensures, with Series 9/10 as a plus
  • Strong understanding of regulatory requirements for Bank and Broker-Dealer operations
  • Knowledge of complex investment products like alternatives and derivatives
  • Exceptional analytical and problem-solving skills with a focus on detail
  • Fluency in English is mandatory; Spanish and Portuguese are added advantages
  • Proven skills in networking, influencing, and effective communication.

Responsibilities

  • Conduct daily reviews to support the OSJ and its Registered Representatives, including email surveillance and marketing material review
  • Approve new brokerage and managed accounts
  • Review supervisory reports and take appropriate action
  • Collaborate with the Regional Supervisory Head on escalated supervisory matters
  • Oversee the approval process for bank-channel and broker-dealer investments
  • Manage surveillance alerts while adhering to policy guidelines
  • Engage with senior management and departmental partners on compliance and risk management matters

Benefits

  • Comprehensive medical, dental, and vision coverage
  • 401(k) retirement savings plan
  • Life, accident, and disability insurance
  • Wellness programs for employee well-being
  • Generous paid time off including vacation and sick leave
  • Paid holidays throughout the year
Full 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.

Responsibilities:
  • 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


Qualifications:
  • 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


Education:
  • Bachelor's/University degree or equivalent experience,


Job Family Group:
Private Client Coverage

Job Family:
Client Services

Time Type:
Full time

Primary Location:
Miami Florida United States

Primary Location Full Time Salary Range:
$107,120.00 - $160,680.00

In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

Most Relevant Skills
Please see the requirements listed above.

Other Relevant Skills
For complementary skills, please see above and/or contact the recruiter.

Anticipated Posting Close Date:

About Citigroup, Inc

Citigroup is a financial services holding company that provides financial products and services. The company operates through two segments, Global Consumer Banking (GCB) and Institutional Clients Group (ICG). The GCB segment offers traditional banking services to retail customers through retail banking, commercial banking, Citi-branded cards, and Citi retail services. The ICG segment offers various banking, and financial products and services to corporate, institutional, public sector, and high-net-worth clients. This segment provides wholesale banking products and services, including fixed-income and equity sales and trading, foreign exchange, prime brokerage, derivative services, equity and fixed-income research, corporate lending, investment banking, and advisory services, private banking, cash management, trade finance, and securities services. Citi is committed to sustainability and social responsibility, and the company invests in initiatives that promote economic progress.

Citigroup, Inc Careers

Join the vibrant team at Citigroup, Inc, a leading global bank, and propel your career into the future. Citigroup offers a plethora of job opportunities that span across various fields and expertise, making it an ideal place for ambitious professionals to thrive.

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At Citigroup, Inc, you will engage in exciting work that matters. Join our team to help innovate and drive transformation in the banking industry. With Citigroup, you can lead initiatives that redefine how banking works and how financial services can empower people globally.

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Citigroup, Inc is not just a company; it's a place where you can grow both professionally and personally. We offer robust career paths and professional development opportunities that help you reach your potential. With diverse career tracks and the support of leadership, your growth at Citigroup is limitless.

Diversity and Inclusion

We believe our strength comes from the diversity of our team. Citigroup, Inc is dedicated to fostering an inclusive workplace where everyone can contribute their best work. Through diversity training and a culture that embraces differences, we create a welcoming environment for all employees.

Benefits and Culture

Citigroup, Inc values the well-being of its employees. We offer competitive benefits packages that support the health, finance, and lifestyle of our team members. Our culture is built on collaboration, respect, and a commitment to excellence. We ensure that every team member feels valued and part of our global family.

Internship and Employment Opportunities

Start your professional journey with Citigroup through our internship programs or full-time job opportunities. We are constantly hiring fresh talent and seasoned experts who bring creativity and innovation to our team. Whether you're refining your skills or ready to lead, there's a position waiting for you at Citigroup.

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At Citigroup, Inc, networking and continuous learning are part of our DNA. We provide platforms for employees to connect with industry leaders and peers, enhancing their skills and opening up new career opportunities. Our leadership programs and professional development initiatives ensure that you are always ahead of the curve.

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Learn more about Citigroup, Inc
Market Cap
$1.3 billion
Industry
Finance & Insurance
Net Income
$89.6 million
Founded
1812
5 Year Trend
+4.6%
NASDAQ
C
* Ladders Estimates

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