Responsibilities:
Assist with the administration of compliance procedures and control systems for the business review department, including monitoring, researching and responding to compliance related inquiries across all product lines
Ensure accuracy of research and compliance advice provided to members of sales force team
Develop information regarding required changes in reports and procedures
Assist with the preparation of written and verbal reports for senior management on compliance program status, issues, trends and concerns
Support sales force and management by implementing recommendations concerning changes, improvements and enhancements
Apply knowledge of how the team interacts with others in order to accomplish Customer Service goals
Fulfilling the clients’ necessities while providing an exceptional client experience is the expected behavior from all our employees and it will be measured by specific metrics.
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:
Previous relevant experience preferred
Series 6 and 26 License.
Fundamental understanding of industry regulations in the US and Canada, extensive understanding of systems, products and culture
Proven knowledge of securities, insurance and mortgage lending laws and regulations as they apply to sales practice issues affecting the sales force
Effective verbal and written communication
Influencing and relationship management skills
Proven ability to creatively solve problems
Education:
Bachelor’s/University degree or equivalent experience
This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.
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Job Family Group: Customer Service
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Job Family: Service
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Time Type: Full time
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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
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