Administrative Principal (OSJ)

Citigroup's story is well known - the first financial services company in the United States to bring together banking, insurance, investments and e-commerce, under one-umbrella. Our major brands are Citibank, CitiFinancial, Primerica, and Salomon Smith Barney. Citigroup's 270,000 employees manage 190 million customer accounts across more than 100 countries. As one of the largest financial services companies in the world, Citigroup is diverse and expansive - globally, ethnically and intellectually. We are proud to be recognized as one of the 100 Best Companies for Working Mothers (Working Mother Magazine) and one of the top US Companies for Asians, Blacks and Hispanics (Fortune Magazine). Citigroup is a company for people who want to make a difference, and who thrive in an environment of change, challenge and competition. Citigroup is an Equal Opportunity Employer M/F/D/V.



The purpose of this position is to provide compliance support to the IPB/CIS OSJ office in New York City. The main objective it to ensure that compliance policies as outlined by CIS/IPB investments are achieved and enforced. The candidate will be responsible for reporting any deficiencies to the Senior Administrative Principal.

 Email review and approval (daily for licensed employees)CIS account opening application review and approval (daily)

 

MAJOR ACTIVITIES:CIS account opening application approval - Follow-up on missing information and pending itemsApproval of the work queue of new CIS accounts  On-line Documents Margin Account Approval  -Review and sign of on the CIS Trade Blotter (Daily Trades)General Compliance enforcement as outlined in the CIS Compliance manual Handling investment related Complaints (client letters, investigate)  MSA Quarterly Report (like RCSA for investment) Contacting the client Investigation, Switch Reports, D-Block Report, Rep Code Changes Case Report, Trade Errors ApprovalConducting Monthly  Sales Meeting i.e. Compliance  Approval of large tradesPre approval of non-routine accounts Audit review of the FE  (yearly) Inter facing with NY Compliance, Investigation, AOM, etc to resolve and address new issues Assist cashiering with failed trades (go back to FE) Request marketing letters, introduction letter for new FE’sMaintain and update the branch hierarchy systemGeneral registration issues (CRD, U4) First line contact to resolve FE issues and minor client issues Update FE work the book (client list with info about client) Assist NY — in switch report completion Working closely with the NY Legal unit to approve offshore annuity

 



The position would require 5 to 7 years investment experience being in a compliance role

Series 7, 63 and 24 licensed required, 9 and 10 preferred

Excellent communication skills, written and verbal. 

People skills

Must be able to perform under pressure and multi task.

The successful candidate must have the ability to be proactive be a self starter and have organizational skills and have positive attitude.

MS Office, Excel, Power-point

Bi-Lingual English/ Spanish Preferred