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Posted: Wednesday, January 24, 2018 5:05 PM

+ **Primary Location:** United States,California,San Francisco
+ **Education:** Bachelor's Degree
+ **Job Function:** Sales
+ **Schedule:** Full-time
+ **Shift:** Day Job
+ **Employee Status:** Regular
+ **Travel Time:** No
+ **Job ID:** 17060708
**About Citi**
Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.
Citi s Mission and Value Proposition explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients and the public s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.
Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.
**About the Business**
International Personal Bank U.S. (IPB U.S.) is a segment of Citi s U.S. Retail Bank that provides U.S.-based wealth management services to clients around the world. IPB U.S. offers its clients access to brokerage products and services as well as traditional banking products and services through three legal vehicles and offices located in the U.S. and several Latin American countries.
**About the Role**
+ The International Personal Bank U.S. is currently seeking candidates for a Senior Administrative Principal (SAP). This position will assist Senior Management to manage Key Processes and Procedures as well as maintaining and implementing procedures. The SAP will also supervise the Registration and complaint unit ensuring that process is performed flawlessly and complying with regulatory requirements.
+ The SAP will also manage a liaison on all reviews (Internal and external) ensuring that risk are properly understood and comprehensive corrective and act as actions are developed and implemented on time.
+ The role s responsibilities, among others, will include Project Management of strategic projects and implementations. This will include driving the implementation of QRGs.
**Role Responsibilities:**
+ Act as firm Principal and be directly responsible for the firm s Regulatory with all applicable regulations and internal policies.
+ Ensure that the introduction of new products, services and functions as well as any changes in existing ones are captured and documented within the process repository.
+ Document all sales, operational and regulatory policies, processes and procedures and maintain a current repository of the same.
+ Act as an audit liaison for any inquiries (Corporate and/or Regulatory) related to operating procedures and policies.
+ Assist and ensure implementation of Corrective Action Plans as a result of internal or external reviews within the required timelines/target dates.
+ Act as Sales and Supervisory Procedures/Tools and Policies Liaison and Expert for all Staff.
+ Implement process improvement projects based on identification of improvement opportunities.
+ Train or coordinate training of all associated persons to ensure its professional development and to comply with firm and regulatory element.
+ Ensure compliance with RDIP and regulatory Operating, Supervisory Procedure periodic revision requirements.
+ Own and track all CAPs associated and ensure these are completed properly and on time.
+ Participate as a member of the in the trade error, trend and complaints committee, Complaints Committee, and Disciplinary Committee.
+ Own the Procedures ensuring that these are properly updated; and ensure that on a timely manner
+ Oversee the planning, implementation, and tracking of a multiple defined projects.
+ Implementation of QRGs.
+ Participate in the creation of design documentation and present the designs to other project members.
+ Prepare management presentations. / Support senior management in business reviews.
+ Own the Periodic Procedures update process ensuring compliance with existing policies and proper timeframes.
+ Other tasks as assigned by management.
+ Bachelor's Degree required.
+ 7 to 10 years of experience in the financial industry.
+ FINRA Registered Representative Series 7 required.
+ FINRA General Sales Principal License Series 24 required.
+ Excellent communication, presentation and facilitation skills.
+ Must be able to perform under pressure and multi task.
+ Fully Bilingual: Spanish and English (oral and writing).
+ Knowledge and understanding of the financial service industry / investment services.
+ MIS Developmental and maintenance (Microsoft Excel or Access).
+ Knowledge or ability to quickly learn operational framework, including Pershing and Banking platforms.
Associated topics: associate director, controller, director, director finance, finance director, general manager, operation, operational manager, staff, supervise


• Location: San Francisco

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