CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
About Citi Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.
Citi's Mission and Value Proposition explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients' and the public's trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.
Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop to are widely available to all.
Brief Description of the Organization CBNA is the primary legal entity for Citi, providing products and services to consumers, financial institutions and corporate clients around the world. In the past, Citi has provided most of its internal reporting on a business by business basis. With the changes in the regulatory environment, strong legal entity reporting and governance has become essential. This team is responsible for ensuring that CBNA has the appropriate governance and control infrastructure to meet the demand for legal entity planning, execution, information management and the ever-evolving regulatory environment. Description of the Position The role of a Senior Sales Supervisor is to oversee risk and control in the Citi Private Bank North America group and who will serve as the Regional Supervisory Principal (RSP) for all supervisory concerns, compliance, surveillance and risk issues for the assigned group of registered represenatives the candidate will be responsible for. The role is a critical component of the Private Bank's first line of defense and is representes a key member of the Citi Private Bank Global Investments Business Risks and Controls organization. The person should influence, advice, and coordinate processes and review efforts of internal and external business partners, regulators and all investment related activities and functions. Key Responsibilities
Responsible for the oversight of all Investments Sales Activities for the North American region.
Responsible for the direct supervision of all Investment Sales Activities in the designated region in NAM covering the UHNW, HNW, and LFG client segments as needed.
Responsible for conducting, as required, principal reviews of CPB NAM marketing materials, including product-related materials, client letters, brochures, direct-marketing campaign materials, public advertisements, sales presentations, and online electronic communications.
Provide ongoing advice and guidance to the ICs, Bankers, AB's and anyone one in the Sales Structure to ensure adherence to policies and standards
Responsible for enhancing the control and supervisory environment. Accountable for managing the communications review and approval process in support of strategic business objectives.
Accountable for monitoring regulatory developments for changes in regulation and interpretive guidance. Key Activities:
Review and approval of correspondence, investment presentations, and email surveillance
Manage and help resolve all sales practice, non-sales practice, service and operational complaints
Review and approve client investment objectives setting
Ensure suitability of investment products that are sold
Review brokerage accounts and business affiliations
Manage, review, and approve new investment sales, including alternative investments
Conduct annual reviews of registered representatives
Monitoring continuing education and licensing requirements
Maintaining all files associated with the OSJ (Office of Supervisory Jurisdiction)
Assist with office audits, compliance testing
Interface with Legal, Compliance and Control partners as necessary
Relevant 10 years of experience in financial industry; compliance experience helpful, but not required
Series 7, 9, 10, 24, 31, 63 & 65 (or 66) - (willing to obtain required licesning within the 120 regulatory requirements)
Team work oriented
Excellent written and verbal communication skills
Project management skills
Ability to work under pressure and meet deadline
Proactive, resourceful and ability to multi-task
Excellent relationship, facilitation and presentation skills, and ability to interact with as well as all levels of Citi management
Proven management skills
Ability to identify issues and trends, evaluate alternatives and recommend comprehensive and innovative solutions
Organized and process oriented
Solid work ethic and proven professionalism
Proficent in Microsoft Office, Pershing NetX360, NICE Actimize Surveillance and other related business systems.
Internal Number: 6123450
eFinancialCareers is a career site specializing in financial services.