Regulatory Risk Sr Analyst - Hybrid

Company: Citi
Location: Saint Charles
Posted on: November 20, 2022

Job Description:

The Business Risk Senior Analyst 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. Integrates subject matter and industry expertise within a defined area. Requires in-depth understanding of how areas collectively integrate within the sub-function as well as coordinate and contribute to the objectives of the function and overall business. Evaluates moderately complex and variable issues with substantial potential impact, where development of an approach/taking of an action involves weighing various alternatives and balancing potentially conflicting situations using multiple sources of information. 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. Regularly assumes informal/formal leadership role within teams. Involved in coaching and training of new recruits Significant impact in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization. Work and performance of all teams in the area are directly affected by the performance of the individual.Responsibilities:

• Daily review of Actimize--- Sales Practices Monitoring trade blotter, alerts and electronic order tickets; periodic review of escalated matters from Compliance Surveillance department
• Review, resolution and approval of daily, weekly and monthly supervisory and surveillance reports in Pershing's NetX360 - supervisory platform
• Review and approve new investment advisory account conversions and related paperwork
• Provide certain trade reviews and pre-approvals
• Review and approve certain operations-related and service requests, include trade errors and miscellaneous corrections
• Review for quality and completeness customer financial profile records, and identifies and resolves any discrepancies with sales and service personnel
• Maintains complete supervisory documentation in certain physical files required by firm and regulatory policies
• Correspondence review and audit retention including incoming and outgoing letters, faxes and email surveillance
• Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives
• Ensure accurate and timely delivery of key changes to the business by leading Global Change Management (GCM) process
• Creating and managing end to end calendar with critical steps, dependencies and dates
• Hosting kick-off calls with change owner to gather stakeholders, begin impact assessment and identify leads from each functional group to be part of the project
• Help change owners craft clear messages that address all stakeholder questions (including Legal & Compliance)
• Build and develop partnerships with potential initiators/ change owners, channel leads and stakeholders by:
• Provide ongoing 1:1 consultative training to change owners on both process and tools during the course of their GCM, as well as provide general training to raise awareness of GCM process
• Facilitate and lead cross-functional meetings
• Assist in awareness campaigns and communications of Global Change Management objectives, process
• Develop analytics and reporting to track effectiveness of process and identify potential process improvements
• Contribute to developing enhancements of Work Flow Management tool
• Provide thought leadership in continually reviewing process and identifying improvements
• Has the ability to operate with a limited level of direct supervision.
• Can exercise independence of judgement and autonomy.
• Acts as SME to senior stakeholders and /or other team members.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.Qualifications:
  • 5-8 years Project Management experience in financial services, control compliance or legal disciplines
  • Experience with work-flow systems
  • Excellent project management and organizational skills.
  • Outstanding relationship building and relationship management skills
  • Consistently demonstrates clear and concise written and verbal communication skills
  • Proficient in Microsoft Office with an emphasis on MS Excel
  • Self-motivated and detail oriented
  • US Registered FINRA Series 7, 9 & 10 (or Series 4, 24, 53) and 66 (or Series 63 and 65) licenses requiredEducation:
    • Bachelor's/University degree or equivalent experience-------------------------------------------------Job Family Group: Risk Management-------------------------------------------------Job Family:Business Risk & Controls------------------------------------------------------Time Type:------------------------------------------------------Primary Location:San Antonio Texas United States------------------------------------------------------Primary Location Salary Range:$84,410.00 - $126,620.00------------------------------------------------------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 .View the "" poster. View the .View the .View the -----------------------------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.

Keywords: Citi, Saint Charles , Regulatory Risk Sr Analyst - Hybrid, Professions , Saint Charles, Missouri