Supervisory Principal
Citi - Miami, FL
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We are seeking a Supervisory Principal to join our client's team! This role requires a Series 7 and 24, and fluency in English and Spanish.ResponsibilitiesAct as a liaison for transitioning practices to the broker dealer home office OSJ direct modelCollaborates with broker dealer OSJs and shares best practices associated with the home office OSJ direct modelCoordinate FINRA filings with compliance teamReview of securities transactions on the electronic trade blotter including but not limited to equities, fixed income, mutual funds, UITs, municipal securities, and 529Reports to senior management with quarterly risk assessments and may propose new policies or procedures regarding riskPerforms reviews of client accounts and documents and helps resolves client complaintsAssist with regulatory exams and requests assist with the maintenance of the department's written supervisory proceduresHandle Registration issuesLead and/or participate on project teams to upgrade/ implement new regulatory related systems special projects as neededOversees and supports recruited branch offices throughout the United States and US Territories reporting to the broker dealer's home office OSJ direct recruited modelQualifications•FINRA Series 7, 24•Bachelor's/University degree or equivalent experience
Created: 2024-10-03