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:
Business Risk & Control
Jacksonville Florida United States
Primary Location Salary Range:
$100,430.00 – $150,650.00
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