The Cmpl Bus Cntrl Intmd Asc Anlst is a developing professional role which integrates in-depth specialty knowledge with a solid understanding of industry standards and practices; demonstrates good understanding of how the team and area integrate with others in accomplishing the objectives of the subfunction/ job family. Applies analytical thinking and knowledge of data analysis tools and methodologies. Breaks down information in a systematic and communicable manner. Developed communication and diplomacy skills are required in order to exchange potentially complex/sensitive information. Moderate but direct impact through close contact with the businesses' core activities. Quality and timeliness of service provided will affect the effectiveness of own team and other closely related teams.
Responsible for supporting teams with compliance and control; partners with operations, risk, compliance, legal and other entities to ensure accuracy and validity of published procedures.
Drafts communications, including content for alerts, emails, collaborate, newsletters, etc; ensuring that trainings and communications are meaningful and easy to understand.
Documents policy and procedure within regulatory requirements in addition to Information Security policies and procedures.
Works with businesses to coordinate deliverables required for internal and external audits.
Updates project tasks regularly and accurately
Prioritizes and completes deliverables timely
Facilitates conference calls
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.
2-5 years of relevant experience
Bachelor's/University degree or equivalent experience
Intake Specialist – supports the customer complaint intake function of Citigroup Global Markets, Inc.; responsible for carrying out the day-to-day process of intake/close out of verbal and written client complaints for the retail broker dealer/RIA and insurance agency business. This position requires a working knowledge of FINRA customer complaint regulatory requirements as well as high attention to detail. 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, more substantively, the determination of whether there is any regulatory reporting required, under the management and oversight of a Team Manager. The Intake Specialist is responsible for implementing policies and procedures and maintaining the correctness of information and details entered into the complaint management application. The Intake Specialist applies subject matter knowledge and professional judgment to independently analyze matters and transactions. Is able to interpret and analyze complaint data metrics and generate regular and ad hoc control reporting to various business units. Identifies inconsistencies in data and formulates solutions and options. Under the direct oversight of the Team Manager, assists with the preparation and submission of the broker-dealer's regulatory reporting, including but not limited to Form U-4 and U-5 amendments and quarterly 4530 reporting to FINRA. From time to time, the incumbent may also be called upon to assist and/or handle other duties related to internal inquiries, audit requests, and FINRA regulatory matters.
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