Global Wealth Operations Manager

5 days ago

Tampa, Florida, United States Citigroup Inc Full time
Job Summary

We are seeking a highly skilled and detail-oriented professional to join our team as a Global Wealth Operations Manager. This role will be responsible for managing the day-to-day processes of intake and close-out of investment complaints for our retail broker-dealer/RIA and insurance agency business.

Key Responsibilities
  • Support teams with compliance and control, partnering with operations, risk, compliance, legal, and other entities to ensure accuracy and validity of published procedures.
  • Document policy and procedure within regulatory requirements, including Information Security policies and procedures.
  • Update project tasks regularly and accurately.
  • Prioritize and complete deliverables timely.
  • Facilitate conference calls.
  • Assess risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding Citigroup, its clients, and assets, by driving compliance with applicable laws, rules, and regulations.
Requirements
  • 2-5 years of relevant experience.
  • Collaboration and communication skills.
  • Time management and organizational skills.
  • Ability to successfully interact with varying personalities and challenge others while maintaining strong partnerships.
  • Problem-solving skills, with the ability to see the big picture and high attention to critical details.
  • Experience in policy adherence, control effectiveness, and open communication.
  • Ability to demonstrate proficiency with Microsoft Excel, Word, and Outlook.
Education

Bachelor's/University degree or equivalent experience.

This role requires a working knowledge of FINRA customer complaint regulatory requirements and a high attention to detail. The successful candidate will have a high degree of independent judgment and decision-making, with regard to the accurate analysis of each customer complaint to determine the nature of the allegations, identification of the correct FINRA problem and product codes, and determination of whether there is any regulatory reporting required.

The Global Wealth Operations Manager will be responsible for implementing policies and procedures and maintaining the correctness of information and details entered into the complaint management application. They will apply subject matter knowledge and professional judgment to independently analyze matters and transactions, interpret and analyze complaint data metrics, and generate regular and ad hoc control reporting to various business units.

This role will also involve identifying inconsistencies in data and formulating solutions and options, as well as assisting with the preparation and submission of the broker-dealer's regulatory reporting, including Form U-4 and U-5 amendments and quarterly 4530 reporting to FINRA.

The successful candidate will have excellent communication and interpersonal skills, with the ability to work effectively with various stakeholders, including operations, risk, compliance, legal, and other entities.

This role is a full-time position, and the successful candidate will be based in Tampa, Florida, United States.

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