![]() ![]() Review and principal approval for life insurance and annuity transactions, including Replacement/Exchanges and NY State Regulation 60 transactions for completeness of forms, documentation of disclosures to clients, compliance with Firm policies, procedures, and processes. ![]() Responsible for maintaining knowledge of applicable regulations and ensuring that the various reviews are conducted in compliance with applicable laws, regulations, and internal procedures.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.Ensure that the Business has a sound control environment including adherence to relevant policies where appropriate.Escalate potential errors promptly in accordance with the Citi Escalation Policy.Ensure adherence to the Citi Operational Risk Policy in regard to operational loss approvals and reporting.Assist the Business in key policy adherence and monitoring.Maintenance and retention of all relevant files within the functional requirements of the role.Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives.Assist on ad-hoc projects as assigned by Management.Interface, consult and advise Senior Management including, but not limited to, Compliance, AML, Sales Management.Execute on projects and initiatives within agreed timeframes.Build partnerships with supported Line of Business operations, Registered Reps, Sales Managers and Supervisory partners.Ensure timely and appropriate escalation of issues and maintain relevant metrics for reporting purposes.In addition, the role holder will be expected to work closely with a diverse group of support and control functions including Business Risk, Compliance, Operational Risk, Legal and Internal Audit. This review will include an analysis of transactions, including replacement transactions for compliance with Firm policies and procedures, as well as adherence to state and FINRA regulatory requirements (including NY State Regulation 60 and FINRA Rule 2330), and provide pre-trade supervisory/principal approval of these transactions. Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives this may include but is not limited to: review and principal approval of insurance and annuity transactions. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and workflow within supervision. The Business Risk Officer – Central Review Unit Supervisory Principal role in Citi Global Wealth is a seasoned FINRA-licensed securities professional role responsible for executing day-to-day supervisory activities across a group of Registered Representatives. ![]()
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