Call and Post Trade Supervision Officer - C13

The Supervision Officer, reporting to the Cross-Disciplinary Controls Group Manager, is responsible for the execution of activities associated with the Call Monitoring program for NAM Consumer Wealth Management (CWM) in addition to Post Trade surveillance tasks that may span across the Consumer, Citi Private Bank and Wealth at Work lines of business.  These tasks may include Level 3 escalations for e-communications across all applicable employees within the Wealth organization.  Other responsibilities may include Level 1 disposition of various post-trade surveillance alerts, reports and functions across all Wealth lines of business.

As part of a team of Monitoring Specialists, the ideal candidate works in collaboration with a team of Controls and Supervisory professionals and focuses on design, execution, and reporting while continually building best practices and improvements into all aspects of their work.

Successful applicants are also responsible for identification, documentation, communication and escalation of emerging risks resulting from their monitoring and control activities including providing input to controls and business partners in support of root cause analysis.

The role provides operational/service/supervisory leadership and direction and applies in-depth disciplinary knowledge through provision of value-added perspectives or advisory services. May contribute to the development of new techniques, models and plans within area of expertise. Generally, has responsibility for volume, quality, timeliness of end results and shared responsibility for planning, controls and reporting. Work affects an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family.

The role is a critical component of Wealth’s first line of defense and represents a key cog in Wealth’s Risk and Control framework.  

Responsibilities:

• Ensures internal reviews and external examinations are well managed with clearly evidenced controls.
• 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, as well as effectively supervising the activity of others and create accountability with those who fail to maintain these standards.
• For business call monitoring routines assigned to the Specialist, must understand and have command over processes, and execute design appropriate testing of the calls being monitored.
• For issues identified with the calls being monitored, review findings with the Call Monitoring Team Supervisor and business owners to confirm validation of the finding, and (if confirmed) escalate for awareness to the appropriate Risk and Operational Team Leads.
• Identify and escalate issues and risks associated with the various Supervisory tasks outlined
• Timely and accurate documentation and entry of all testing results, L3 escalations or alert disposition
• Continually build best practices and improvements into all aspects of assigned tasks – embrace learning and translate those learnings into efficient design, execution and monitoring
• Maintain meticulous, accessible supporting documentation for all monitoring, surveillance and supervisory tasks outlined
• Make use of data from various systems and repositories to develop a thorough understanding of the business including identification of trends, anomalies, outliers, and red flags.
• For Level 3 e-communication escalations assigned to the Supervision Officer, must understand and have command over processes, policies and procedures related to the oversight of Wealth employee email communications.
• For Level 1 post-trade surveillance alert disposition assigned to the Supervision Officer, must understand and have command over regulatory requirements, investment sales suitability and associated processes, policies and procedures.
• Develop and maintain effective relationships with business, management and risk/control partners (ICRM, Legal, IFRM, etc…) to ensure efficient and effective oversight of the business
• Proactively advance the use of computer-assisted assessment tools and techniques to drive high efficiency and effectiveness in monitoring and surveillance processes.
• Support strategic projects and ad hoc requests from the Team Lead, Group Manager, Senior Supervision Management and other Risk/Control partners

Qualifications:

• 5-8 years of relevant experience
• Prior experience working within investments, risk and control, compliance or supervision is