Officer in Charge

Responsibilities:

• Assist with the administration of compliance procedures and control systems for the business review department, including monitoring, researching and responding to compliance related inquiries across all product lines
• Ensure accuracy of research and compliance advice provided to members of sales force team
• Develop information regarding required changes in reports and procedures
• Assist with the preparation of written and verbal reports for senior management on compliance program status, issues, trends and concerns
• Support sales force and management by implementing recommendations concerning changes, improvements and enhancements
• Apply knowledge of how the team interacts with others in order to accomplish Customer Service goals
• Fulfilling the clients’ necessities while providing an exceptional client experience is the expected behavior from all our employees and it will be measured by specific metrics.
• 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.

Qualifications:

• Previous relevant experience preferred
• Series 6 and 26 License.
• Fundamental understanding of industry regulations in the US and Canada, extensive understanding of systems, products and culture
• Proven knowledge of securities, insurance and mortgage lending laws and regulations as they apply to sales practice issues affecting the sales force
• Effective verbal and written communication
• Influencing and relationship management skills
• Proven ability to creatively solve problems

Education:

Bachelor’s/University degree or equivalent experience