Wealth Supervision License & Registration Officer

/10, 63,65The 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:

• Responsible for managing and supporting multiple risk and control programs for the organization including defining the strategy, approach, processes, quality, tools and reporting that provide global risk management consistency and excellence.

• Works closely with business partners on findings and makes recommendations on improving practices.
• Examines procedures for consistency and gaps relative to regulations in addition to impacts on customer experience.
• Conducts internal testing of dispute processes to ensure WLRSU Procedures are updated.
• Monitors exceptions to dispute policy and identifies drivers of exceptions.
• Has the ability to operate with a limited level of direct supervision.
• Can exercise independence of judgement and autonomy.
• Acts as SME to senior stakeholders and /or other team members.
• 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.
• Perform daily reviews of reports to support the WLRSU Team to ensure Wealth RRs registration is compliant with FINRA Rules

Qualifications:

• FINRA Series 7, 9,10,63,65
• 6-10 years relevant work experience in Business Risk & Controls
• Advanced skills in; Excel, PowerPoint, SharePoint, Adobe.  Knowledge in Visio,Tableu a plus.
• FINRA License and Registration experience a plus
• Consistently demonstrates clear and concise written and verbal communication skills
• Effective organizational influencing skills required.
• Excellent problem solving skills Ability to see the big pictures with high attention to critical details
• Demonstrated ability to develop and implement strategy and process improvement initiatives.

Education:

• Bachelor’s/University degree or equivalent experience, potentially Masters degree

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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.

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