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Supervisory Principal

Company: Citi
Location: Jersey City
Posted on: September 16, 2023

Job Description:

Job Description

The Supervisory Principal 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.


  • Supports the centralized oversight of certain capital markets related business, such as alternative investments, structured products and syndicate, within CWM as outlined in the applicable business procedures
  • 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
  • Provide certain trade reviews and pre-approvals
  • Review and approve certain operations-related and service requests, include trade errors and miscellaneous corrections
  • Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives Qualifications:
    • 6-10 years of experience with 5-8 years in supervisory experience in financial services, control compliance or legal disciplines
    • Experience with NetX/Actimize
    • Excellent 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, detail oriented and team player
    • Required licenses Series 9 & 10, 7, 65 & 63 (or 66), 4 Education:
      • Bachelor's degree, potentially Master's degree This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.


        Job Family Group:

        Risk Management -

        Job Family:

        Business Risk & Control

        Time Type:

        Full time

        Primary Location:

        Jacksonville Florida United States

        Primary Location Salary Range:

        $100,430.00 - $150,650.00

        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 Accessibility at Citi .

        View the " EEO is the Law " poster. View the EEO is the Law Supplement .

        View the EEO Policy Statement .

        View the Pay Transparency Posting

Keywords: Citi, Jersey City , Supervisory Principal, Other , Jersey City, New Jersey

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