The Business Risk Officer/Supervisory Principal role in Citi Global Wealth is a seasoned FINRA-licensed securities professional role responsible for executing day-to-day supervisory activities across Financial Promotions and Advertising material (“Communications Supervisory Principal”).  The Communications Supervisory Principal is responsible for conducting marketing and advertising Supervisory reviews across Citi Global Wealth with a focus in retail Banking, Lending and/or Insurance products and capabilities.

Preferably the role will be based in Jersey City, NJ, San Antonio TX or Jacksonville, FL. 

Qualifications

• Relevant 6-10 years of supervisory experience in review of Communications and Advertising for financial industry; compliance experience helpful
• Knowledge of FINRA, SEC Communications and Advertising regulatory requirements and related policy, preferably Insurance and Banking/Lending regulations within US retail segment
• Ability to work independently, execute on agreed upon timelines and work under pressure
• Ability integrating and balancing diverse priorities
• Strong networking, influencing and negotiating skills
• Excellent written and verbal communication skills
• Strong organizational and time management skills
• Proactive and Resourceful
• Excellent communication skills (oral and written) in English. Bilingual language skills a plus
• Ability to see the big picture with high attention to critical details
• Proficiency in MS Office (Word, Excel, PowerPoint, Outlook) 
• Required Securities Licensure
  • Series 7 license; and
  • Series 63 and Series 65 or Series 66; and
  • Series 24; and
  • Series 31 (can obtain at employment)  

Education:

• Bachelor’s/University degree or equivalent experience; Masters degree a plus

Responsibilities:

• Ensure timely and appropriate reviews of Advertising/Communication material for the US Banking/Lending and Insurance businesses
• Execute on projects and initiatives within agreed timeframes
• Interface, consult and advise Senior Management including, but not limited to, Compliance, Sales Management.
• Assist on ad-hoc projects as assigned by Management.
• Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives which focus on SEC and FINRA Communications/Advertising regulations
• Maintenance and retention of all relevant files within the functional requirements of the role
• Assist the Business in key policy adherence and monitoring
• Ensure that the Business has a sound control environment including adherence to relevant policies where appropriate.
• Keep Management aware of the risk and control environment of the Business through continuous and open communication with Senior Management to present and follow-up on issues, concerns and corrective action plans.

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Job Family Group:

Risk Management

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Job Family:

Business Risk & Control

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Time Type:

Full time

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Primary Location:

Jacksonville Florida United States

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Primary Location Salary Range:

$100,430.00 – $150,650.00

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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.

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