Senior Risk & Compliance Leader

Citibank (Switzerland) AG; Miami (FL); On-site; Confidential; Full time

Benefits offered by this job

Medical, dental & vision coverage

401(k)

Paid time off packages

Job summary

A leading financial institution is seeking a Business Risk Officer in Miami, Florida. This role involves performing reviews in support of the Office of Supervisory Jurisdiction, managing surveillance alerts, and reviewing new brokerage accounts. The right candidate will have relevant experience in the capital financial industry and require various FINRA licenses. Competitive benefits and salaries range between $107,120 - $160,680 annually.

Qualifications

• Relevant experience in Capital financial industry, preferably in compliance/supervisory/business risk.
• Strong analytical and problem-solving skills.
• Excellent communication skills in English, Spanish and Portuguese preferred.

Responsibilities

• Perform daily reviews in support of the OSJ and its Registered Representatives.
• Review and approval of new brokerage and managed accounts.
• Manage surveillance alerts within stated policy guidelines.

Skills

Knowledge of Bank and Broker-Dealer businesses

Analytical skills

Strong networking skills

Excellent written and verbal communication skills

Ability to work independently

Education

Bachelor’s/University degree or equivalent experience

Tools

FINRA Series 7

FINRA Series 24

FINRA Series 66

FINRA Series 63/65

Job description

A leading financial institution is seeking a Business Risk Officer in Miami, Florida. This role involves performing reviews in support of the Office of Supervisory Jurisdiction, managing surveillance alerts, and reviewing new brokerage accounts. The right candidate will have relevant experience in the capital financial industry and require various FINRA licenses. Competitive benefits and salaries range between $107,120 - $160,680 annually.