15 days old

Supervisory Principal

New York, NY 10176
The Supervisory principal is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and work-flow for the area or function. . Evaluates complex trading issues and processes. Requires good analytical skills in order to filter, prioritize and validate potentially complex and dynamic material from multiple sources. Strong communication and diplomacy skills are required.


+ Perform oversight of trade errors and corrections

+ Maintain Supervisory files to be used across various business lines

+ Review of designated supervisory reports

+ Work closely with supervisory team on error resolution and documentation

+ Partner with Supervision and Operations team members in the resolution of items escalated and raised.

+ Manage surveillance inquiries within policy stated guidelines

+ Interface with Senior Management including, but not limited to, Compliance, AML, Sales Management.

+ Assist on ad-hoc projects as assigned by Manager of team.

+ Execute on projects and initiatives within agreed timeframes


+ Relevant 2-5 years of experience in financial industry; compliance experience helpful, but not required

+ FINRA Series 7, 9/10 Required - willing to obtain the 66 (63/65) in 120 days

+ Understanding of Managed accounts and investing.

+ Ability to handle complex matters and address urgencies

+ Knowledge of broker-dealer business, regulatory requirements and related policy.

+ Ability integrating and balancing diverse priorities

+ Strong networking, influencing and negotiating skills

+ Proactive and Resourceful

+ Excellent interpersonal & communication skills (oral and written) .


**Job Family Group:**

Risk Management


**Job Family:**

Business Risk & Controls


**Time Type:**

Full time


Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Citigroup Inc. and its subsidiaries ("Citi) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review **Accessibility at Citi (https://www.citigroup.com/citi/accessibility/application-accessibility.htm)** .

View the "EEO is the Law (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/eeopost.pdf) " poster. View the EEO is the Law Supplement (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/OFCCP\_EEO\_Supplement\_Final\_JRF\_QA\_508c.pdf) .

View the EEO Policy Statement (http://citi.com/citi/diversity/assets/pdf/eeo\_aa\_policy.pdf) .

View the Pay Transparency Posting (https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp\_%20English\_formattedESQA508c.pdf)


Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.


Posted: 2022-05-13 Expires: 2022-06-12

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Supervisory Principal

New York, NY 10176

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