Call and Post Trade Supervision Officer - C13

The Supervision Officer, reporting to the Cross-Disciplinary Controls Group Manager, is responsible for the execution of activities associated with the Call Monitoring program for NAM Consumer Wealth Management (CWM) in addition to Post Trade surveillance tasks that may span across the Consumer, Citi Private Bank and Wealth at Work lines of business.  These tasks may include Level 3 escalations for e-communications across all applicable employees within the Wealth organization.  Other responsibilities may include Level 1 disposition of various post-trade surveillance alerts, reports and functions across all Wealth lines of business.

As part of a team of Monitoring Specialists, the ideal candidate works in collaboration with a team of Controls and Supervisory professionals and focuses on design, execution, and reporting while continually building best practices and improvements into all aspects of their work.

Successful applicants are also responsible for identification, documentation, communication and escalation of emerging risks resulting from their monitoring and control activities including providing input to controls and business partners in support of root cause analysis.

The role provides operational/service/supervisory leadership and direction and applies in-depth disciplinary knowledge through provision of value-added perspectives or advisory services. May contribute to the development of new techniques, models and plans within area of expertise. Generally, has responsibility for volume, quality, timeliness of end results and shared responsibility for planning, controls and reporting. Work affects an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family.

The role is a critical component of Wealth’s first line of defense and represents a key cog in Wealth’s Risk and Control framework.  

Responsibilities:

• Ensures internal reviews and external examinations are well managed with clearly evidenced controls.
• 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, as well as effectively supervising the activity of others and create accountability with those who fail to maintain these standards.
• For business call monitoring routines assigned to the Specialist, must understand and have command over processes, and execute design appropriate testing of the calls being monitored.
• For issues identified with the calls being monitored, review findings with the Call Monitoring Team Supervisor and business owners to confirm validation of the finding, and (if confirmed) escalate for awareness to the appropriate Risk and Operational Team Leads.
• Identify and escalate issues and risks associated with the various Supervisory tasks outlined
• Timely and accurate documentation and entry of all testing results, L3 escalations or alert disposition
• Continually build best practices and improvements into all aspects of assigned tasks – embrace learning and translate those learnings into efficient design, execution and monitoring
• Maintain meticulous, accessible supporting documentation for all monitoring, surveillance and supervisory tasks outlined
• Make use of data from various systems and repositories to develop a thorough understanding of the business including identification of trends, anomalies, outliers, and red flags.
• For Level 3 e-communication escalations assigned to the Supervision Officer, must understand and have command over processes, policies and procedures related to the oversight of Wealth employee email communications.
• For Level 1 post-trade surveillance alert disposition assigned to the Supervision Officer, must understand and have command over regulatory requirements, investment sales suitability and associated processes, policies and procedures.
• Develop and maintain effective relationships with business, management and risk/control partners (ICRM, Legal, IFRM, etc…) to ensure efficient and effective oversight of the business
• Proactively advance the use of computer-assisted assessment tools and techniques to drive high efficiency and effectiveness in monitoring and surveillance processes.
• Support strategic projects and ad hoc requests from the Team Lead, Group Manager, Senior Supervision Management and other Risk/Control partners

Qualifications:

• 5-8 years of relevant experience
• Prior experience working within investments, risk and control, compliance or supervision is preferred
• Advanced level of understanding of call monitoring routines, surveillance and risk- related governance monitoring
• Strong knowledge of Investment Products and Services and associated risks
• Proven ability to work cross-functionally exercising leadership through influence, persuasion, and negotiation.
• Strong leadership skills; able to build, coordinate and lead strategic initiatives
• Excellent relationship management skills with the ability to foster collaboration
• Strong execution skills with drive for continuous improvement.
• Effective oversight and supervisory skills
• Strong communication and presentation skills (oral and written)
• Independent thinker with the ability to exercise good judgement and perform credible challenge
• Ability to deliver within timelines in a dynamic, fast-paced environment
• Ability to identify issues and trends, evaluate alternatives and recommend comprehensive and innovative solutions
• Strong organizational skills; process oriented
• Proficiency in MS Excel, PowerPoint SharePoint
• Experience in Pershing NetX360, Actimize Surveillance and Salesforce platforms a plus
• Bilingual Spanish/English preferred but not required.
• Project management and governance experience with demonstrated ability to achieve and exceed critical milestones a plus

Education:

• Bachelor’s/University degree or equivalent experience

Required Securities Licenses: 

• Position requires active Series 7, 9/10, 66 (or 63 and 65), 24 a plus
• Note that employee will have 150 days from date of hire to secure any missing required licenses

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In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.

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