Supervisory Principal, Citi

Citi

Location:
United States, Jacksonville

Category:
Finance

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

The Markets Supervisory Officer will oversee investment activities, supervisory functions, regulatory compliance, syndicate offerings, trade error management, and supervisory culture while engaging with trade platforms and systems.

Job Responsibility:

Overseeing Investment Activities: Candidate will be responsible for providing oversight of various activities performed by the trade desks
Supervisory Oversight: Reviewing escalated surveillance issues, performing transaction surveillance, providing compliance/supervisory guidance to sales & trading teams, and maintaining and enhancing the control and supervisory culture
Regulatory Compliance: Monitoring regulatory developments, managing communications review and approval, and ensuring adherence to policies and standards
Review and approval of brokerage and capital markets activities, including business affiliations, personal trading and outside business activities
Managing, reviewing, and approving syndicate offerings including equity, fixed income and structured products
Assist with oversight of trading systems, rules engines and platforms used by Wealth Markets traders
Direct engagement with trade error remediation, reporting, escalation, tracking & metrics
Participating in and leading calls on Capital Markets topics
Monitoring continuing education and licensing requirements
Maintaining files associated with the OSJ (Office of Supervisory Jurisdiction)
Assisting with various delegated tasks, projects, audits, compliance testing, and regulatory inquiries
Interfacing with Legal, Compliance, and Control partners
Assist with resolution of client complaints
Understanding various trading platforms and systems
Assisting with developing and contributing to system control enhancements across the business, systems, and platforms.

Requirements:

Significant experience in Capital Markets and the financial industry
Cross-disciplinary knowledge of compliance, operations, trading
Required Licenses: Series 7, 9/10, 31, 63 & 65 (or 66). Candidates willing to obtain missing licenses within 120 days are also encouraged to apply. Series 24, 4 in lieu of 9/10
Strong teamwork orientation
Excellent written and verbal communication skills
Project management skills
Ability to work under pressure, meet deadlines, and multitask in a fast-paced environment
Proactive and resourceful attitude.

Nice to have:

Knowledge of Rates & other Derivatives
Excellent relationship-building, facilitation, and presentation skills
Ability to identify issues and trends, evaluate alternatives, and recommend solutions
Strong organizational and time management skills
Ability to interact effectively with Senior Management.

What we offer:

Medical, dental & vision coverage
401(k)
Life, accident & disability insurance
Wellness programs
Paid time off packages, including vacation, sick leave, and paid holidays
Discretionary and formulaic incentive and retention awards.

Additional Information:

Job Posted:
August 21, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Supervisory Principal