Cross-disciplinary Controls Lead Analyst VP - ...

The Business Risk Officer is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and the business. Excellent communication skills required in order to negotiate internally, often at a senior level. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular registered representatives and colleagues in other areas including product, legal & compliance. Accountable for ensuring investments sales are in line with suitability standards. Responsibilities: u2022Supervise Registered Representatives to ensure they are adhering to bank policies related to Suitability, Communication with the Public, Outside Activity policies, Employee trading policy, etc. u2022 New investment account and product recommendation reviews & approvals in compliance with Regulation Best Interest, FINRA 2111 and Department of Labor Rules u2022 Alternative Investments approvals for suitability of Complex products u2022 Conduct monthly Supervisory meetings for the RRs to ensure advisors are informed of changes in regulations, policies, procedures u2022 Keep Management aware of the risk and control environment of the Business through continuous and open communication with Senior Management to present and follow-up on issues, concerns and corrective action plans. u2022 Assist the Business in key policy adherence and monitoring u2022 Maintain an efficient OSJ that is prepared to receive an annual Branch Examination Overall Assessment: Sufficient Assurance u2022 Serve as main point of contact for audit groups and ensure that all audit requests are timely and appropriately provided. u2022 Ensure adherence to the Citi Operational Risk Policy in regard to operational loss approvals and reporting. u2022 Escalate potential errors promptly in accordance with the Citi Escalation Policy u2022 Ensure that the Business has a sound control environment including adherence to relevant policies where appropriate. u2022Review escalated emails from surveillance monitoring group and assess appropriate policy or regulatory breach u2022 Responsible for the coordination of key projects, including ensuring that Investment Objective Settings (IOS) periodic reviews are timely executed. u2022 Serve as a main point of contact for the Registered Representatives that the daily investment activities are completed timely and in accordance to firm and regulatory guidelines. u2022 Perform Annual Registered Rep reviews u2022 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 and Experience Required Series 7, 9/10, 24, 31, 63 & 65 (or 66) - ( if one of the license requirements is missing, willing to obtain within 150 days of hire) u2022 Relevant experience in Capital markets and financial industry; compliance experience helpful u2022 Team work oriented u2022 Excellent written and verbal communication skills u2022 Project management skills u2022 Ability to work under pressure and meet deadline u2022 Proactive, resourceful and recilient Skills and Competencies u2022 Excellent relationship, facilitation and presentation skills, and ability to interact with as well as all levels of Citi management u2022 Ability to identify issues and trends, evaluate alternatives and recommend comprehensive and innovative solutions u2022 Organized and process oriented u2022 Proficient in Microsoft Office, Pershing NetX360, NICE Actimize Surveillance and other related business systems a plus. u2002 Education : Bachelor's/University degree, Master's degree preferred ------------------------------------------------------ Job Family Group: Controls Governance & Oversight ------------------------------------------------------ Job Family: Cross-disciplinary Controls ------------------------------------------------------ Time Type: Full time ------------------------------------------------------ Primary Location: Washington District Of Columbia United States ------------------------------------------------------ Primary Location Full Time Salary Range: $123,360.00 - $185,040.00 In addition to salary, Citiu2019s 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 . Available offerings may vary by jurisdiction, job level, and date of hire. ------------------------------------------------------ Most Relevant Skills Analytical Thinking, Business Acumen, Communication, Constructive Debate, Controls Assessment, Controls Lifecycle, Escalation Management, Issue Management, Risk Management, Stakeholder Management. ------------------------------------------------------ Other Relevant Skills For complementary skills, please see above and/or contact the recruiter. ------------------------------------------------------ Anticipated Posting Close Date: Oct 02, 2025 ------------------------------------------------------ _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 Citiu2019s EEO Policy Statement ( and the Know Your Rights ( poster._Citi is an equal opportunity and affirmative action employer. Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.

Created: 2025-09-29