Equities Supervisory Risk and Control position supports a trading and sales environment in relation to US Regulatory Rules as defined by FINRA and the SEC. The position is for a highly energized, dynamic professional who is ready to join a fast-paced, world leader in the financial services industry. The successful candidate will work with Equities Business Management, Middle Office, Operations, Technology, Compliance, Internal Audit, Financial Control and Legal Departments. The position will report to the Director responsible for the team.
Responsibilities:
Responsible for operating, developing, enhancing, and innovating Regulatory controls and processes to ensure thorough Supervision of Trading Activities in Equities 1LoD.
Understand and support key Regulatory policy and control initiatives. Perform daily regulatory reporting processes as required to be in compliance with internal or regulatory initiatives.
Identify best practices, key control/governance policies, procedures, and documentation requirements.
Develop a thorough understanding of the Citi Markets and build connections with the Trading and Sales Desks. Network and collaborate with all supporting teams including Middle Office, Product Control, Business Management, Technology, Compliance, Market Risk, and other In-Business Risk teams.
Understand business priorities and requirements while developing solutions. Identify improvement opportunities in process architectural design and workflows based heavily in Excel and SQL-based data systems.
Supports database management processes and routines. Develops comprehensive solutions in SQL and data querying tools to enhance the efficiency and effectiveness of current review processes.
Qualifications:
6-10 years of experience in a financial services role
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Knowledge of FINRA/SEC Regulatory Rules such as Reg NMS, Reg SHO, Options Trading Rules, and other Venue Specific Exchange Rules
Critical, analytical thinking skills driven by strong desire to problem solve
Proven ability to work in high-pressure environments
Consistently demonstrate clear and concise written and verbal communication
High energy, self-starter with a flexible, pragmatic attitude and desire for continued progress
Driven, methodical approach to organizing processes; capable of prioritizing and multi-tasking in a dynamic environment
Appropriately assess risk in all decisions while being continually mindful of all negative consequences, likelihood for each, and means to neutralize
Strong interpersonal skills with a demonstrated ability to collaborate effectively with a wide variety of people across multiple functions, regions, and levels of seniority to deliver results
Knowledge of and interests in finance, markets, risk management
Advanced knowledge of Microsoft Excel, Word, Powerpoint, and SQL is required
Full time ------------------------------------------------------
Primary Location:
Getzville New York United States ------------------------------------------------------
Primary Location Full Time Salary Range:
$92,000.00 - $138,000.00
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.
Business Acumen, Constructive Debate, Escalation Management, Issue Management, Policy and Procedure, Policy and Regulation, Risk Controls and Monitors, Risk Identification and Assessment, Stakeholder Management. ------------------------------------------------------
We use automated processing, including artificial intelligence, for our legitimate business interests (or our reasonable and appropriate business purposes) to identify and align the candidate's skills and abilities with a specific job opening. Additionally, if you so choose, or consent, we can match your skills and abilities to other suitable roles at Citi.
Importantly, all our hiring processes and decisions, including determining your suitability for a role, are conducted, checked, and decided by individuals. Our automated processing and AI do not involve relying on automatic or autonomous decision-making. Please refer to any Jurisdictional Considerations, with specific provisions for your country (where relevant) for further details.
Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law.
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 Citi’s EEO Policy Statement and the Know Your Rights poster.
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