Apply on Employer Site

Citi · 4 months ago

Supervisory Principal VP

New York New York United States

Full-time

Onsite

Mid, Senior Level

$130K/yr - $195K/yr

Citi is a leading global bank, and they are seeking a Supervisory Principal VP to serve as a strategic professional who contributes to the business's directional strategy and provides expert advice on technology and operations. The role involves managing daily reviews, supervising Registered Representatives, and collaborating with various teams to resolve supervisory issues while ensuring compliance with regulations.

BankingFinanceFinancial Services

H1B Sponsor Likely

Responsibilities

Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives; this may include but is not limited to email surveillance, correspondence, marketing material, complaints, outside activities, licensing/registration, trade blotters, trade errors, management of OSJ files, etc

Review and approval of new brokerage and managed accounts

Review and dispositioning of designated supervisory reports

Partner with Regional Supervisory Head and the Supervision team on the resolution of supervisory issues escalated

Review and approval of designated bank-channel and broker-dealer investments

Manage surveillance alerts within stated policy guidelines

Interface, consult with and escalate to Senior Management and partners including, but not limited to, Compliance, Legal, AML, Regional Business Risk, Regional COO and Sales Management

Assist with ad-hoc projects and/or workflow testing as assigned by Manager

Assist with coaching and training Registered Representatives when applicable

Assist with conducting of periodic control meetings

Assist with audits/examinations when applicable

Qualification

FINRA Series 7FINRA Series 24Capital financial industryInvestment products knowledgeRegulatory requirements knowledgeNetworking skillsAnalytical skillsProcess improvement initiativesSpanish languagePortuguese languageCommunication skillsOrganizational skillsProblem solving skills

Required

Relevant experience in Capital financial industry; compliance/supervisory/business risk experience preferred

FINRA Series 7, 66 (63/65), 24 and 31. Series 9/10 also preferred

Knowledge of Bank and Broker-Dealer businesses, regulatory requirements and related policy

Knowledge of Investment products including complex products (Alternatives, Structured Notes and Derivatives)

Ability to assess and balance diverse priorities

Strong networking, influencing and negotiating skills

Strong analytical skills

Excellent written and verbal communication skills in English required. Spanish and Portuguese preferred

Strong organizational and time management skills

Excellent interpersonal and diplomacy skills

Ability to work independently and execute on agreed upon timelines

Excellent problem solving skills. Ability to see the big picture with high attention to critical details

Demonstrated ability to contribute to/participate in process improvement initiatives

Bachelor's/University degree or equivalent experience

Preferred

compliance/supervisory/business risk experience

Series 9/10

Experience contributing to internal/external audits

Benefits

Medical, dental & vision coverage

401(k)

Life, accident, and disability insurance

Wellness programs

Paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays

Company

Citi

Glassdoor3.8

Citi's mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress.

Founded in 1812

San Antonio, Texas, USA

10001+ employees

https://www.citi.com

H1B Sponsorship

Citi has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (1386)

2024 (849)

2023 (1375)

2022 (1117)

2021 (876)

2020 (901)