Citi Private Bank – Communications/Advertising Supervisory Principal

September 16, 2023

Job Description

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. 


  • 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)  


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


  • 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.


Job Family Group:

Risk Management


Job Family:

Business Risk & Control


Time Type:

Full time


Primary Location:

Jacksonville Florida United States


Primary Location Salary Range:

$100,430.00 – $150,650.00


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