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Branch Operations / CSA Manager - CPWM, National Investor Center

Company: Citi Bank
Location: San Antonio
Posted on: June 12, 2021

Job Description:

The Citi Personal Wealth Management (CPWM) National Investor Center (NIC) provides wealth management services to clients remotely. The Branch Operations / CSA Manager acts as the direct supervisor of the NIC Client Sales Assistants (CSAs) that support NIC Advisor production efforts and the self-directed business for CPWM. The position requires strong analytical and communication skills, as well as an exceptional understanding of client service, operational process, supervisory procedures, regulatory requirements, compliance and risk & controls.Key Responsibilities: Responsible for managing a team of Client Sales Assistants (15-20), both licensed and non-licensed.Partners with other members of the NIC management team with a focus on identifying and increasing synergies in order to further service/operational support, client onboarding, and revenue generating efforts.Provide leadership focused on building a unified team, improving productivity, quality metrics as well as identification/implementation of cost effective process re-engineering.Coordinates and liaises with FIU, AML, OSJ, and MOO to ensure an efficient process for identifying, managing, and documenting risks associates with high net worth, offshore and senior public figure clients. Serves as second level approval on high risk EDDs.Coordinates Virtual CSA support.Coordinates and implements compliance and risk best practices; considered the subject matter expert on Firm and industry policies and procedures with regards to Risk and Compliance.Manages research and resolution of all escalated supervisory, surveillance and risk issues originating from the Advisors or other area of the Firm; Facilitates and oversees resolution of escalated operational and service issues. Evaluates significant compliance, regulatory, reputational and/or financial risk situations requiring escalation to Compliance and/or municates CPWM compliance policies and procedures and regulatory guidance through periodic meetings in order to promote risk awareness and a compliant environmentFacilitates the training of team on compliance policies and procedures.Liaises with the Legal and Compliance Division as well as Middle Office for resolution of escalated matters.Consults with Human Resources on any HR issues related to risk, compliance, service or operations; Administers annual compensation and performance management processes including individual development planning and goal setting for all CSAs.Qualifications Prior broker/dealer supervisory experienceProgressive levels of experience and responsibilities in management or supervisory rolesExperience as a supervisor with a bank-based or independent brokerage model a plusBachelor's Degree, or equivalent experience, in business or related disciplineSeries 7, S63, & S9/10 (S8) or S4/24/53 securities licenses requiredSkills & Competencies This position requires a subject matter expert in brokerage and investment advisory products, as well as transactional processes and control requirements, including in particular a superior level of knowledge and experience, such as the following:Extensive knowledge of FINRA and SEC Rules and Regulations.Extensive knowledge and experience in investment products, including investment advisory products and services, traditional investment products and complex products such as Alternative Investments, Structured Products, Annuities and Options/Derivatives.Ability to lead, motivate and influence others.Ability to improve processes and manage projects.Superior technical know-how, commercial awareness and analytical skills coupled with an understanding of risk/reward dynamics.Expert knowledge of corporate governance including regulated practices. Applies and complies with applicable internal and external policies. Demonstrates strong ethics.Sound judgment/decision making ability to balance constant need for expanded markets/revenue with strong risk process.Excellent communication, negotiation and influence skills; ability to build a broad base of support among key stakeholders.Superior relationship, facilitation and presentation skills, and ability to interact with CPWM sales management team.Ability to identify issues and trends, evaluate alternatives and develop comprehensive and innovative solutions to mitigate franchise, regulatory, operational and reputational risk.Strong leadership skills: operates as a leader, with an understanding and appreciation for diverse backgrounds.Able to work effectively in a complex, matrix organization.Analytical approach to problem-solving.Ability to multi-task, work under pressure and meet deadlines.Attention to detail.Solid work ethic, professionalism and a positive attitude.

Keywords: Citi Bank, San Antonio , Branch Operations / CSA Manager - CPWM, National Investor Center, Other , San Antonio, Texas

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