Business Risk Officer

The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family.Responsibilities:Responsibilities:Responsible for the oversight of Investments Sales Activities in Capital Markets for the North America, WaW and LATAM regions.Knowledge of Equity, Fixed income, FX, Structured ProductsKnowledge of Derivatives a PlusResponsible for review of escalated surveillance issues. Provide ongoing advice and guidance to Capital Markets sales & trading teams ensure adherence to policies and standardsResponsible for enhancing the control and supervisory environment. Accountable for managing the communications review and approval process in support of strategic business objectives.Accountable for monitoring regulatory developments for changes in regulation and interpretive guidance.Key Activities:Review brokerage and capital markets activities as well as business affiliations, personal trading and outside activities. Manage, review, and approve new investment sales, Equity and FI new issues, SPAC, etc.Must have strong knowledge of FINRA, SEC & FRB rules and regulationsKnowledge of Dodd Frank a plus.Oversight of trading systems and platforms used by the Capital Markets SpecialistsConduct annual reviews of registered representatives and monthly registered representative meetings.Participate and lead calls on topics related to the Capital Markets business.Monitoring continuing education and licensing requirementsMaintaining all files associated with oversight of the OSJ (Office of Supervisory Jurisdiction)Assist with audits, compliance testing and regulatory inquiries.Interface with Legal, Compliance and Control partners as necessaryManage and help resolve all sales practice, non-sales practice, service and operational complaintsAbility to understand various trading platforms and systems used across the Markets business.Work to develop system controls and enhancements across the business, systems, platforms (bank/brokerage)Qualifications and Experience RequiredRelevant experience in Capital Markets and financial industry; compliance experience helpfulLicenses Required - Series 7, 9/10, 31, 63 & 65 (or 66) - (if Candidate has some but not all required licenses, must be willing to obtain remaining required licenses within 120 days)Series 24 or 3 a plusTeam work orientedExcellent written and verbal communication skillsProject management skillsAbility to work under pressure and meet deadlines in a fast-paced environment.Proactive, resourceful and ability to multi-taskSkills and CompetenciesExcellent relationship, facilitation and presentation skills.Ability to identify issues and trends, evaluate alternatives and recommend comprehensive and innovative solutions.Organized and Efficient in managing time and resources Highly visible position requiring ability to deal with all levels of Senior ManagementEducation:Bachelor's/University degree or equivalent experience-------------------------------------------------Job Family Group: Risk Management-------------------------------------------------Job Family:Business Risk & Control------------------------------------------------------Time Type:Full time------------------------------------------------------Primary Location:New York New York United States------------------------------------------------------Primary Location Salary Range:$129,840.00 - $194,760.00------------------------------------------------------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