• Competitive
  • New York, NY, États-Unis
  • CDI, Plein-temps
  • Citi-US
  • 2018-10-16

Broker Dealer: Regulatory Senior Group Manager

Broker Dealer: Regulatory Senior Group Manager

  • Primary Location: United States,New York,New York
  • Education: Bachelor's Degree
  • Job Function: Finance
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 18056623


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.

CGMI's Regulatory Reporting Department within Finance is seeking a Director level individual to join the department as a manger responsible for broker dealer reporting.  The department is primarily responsible for ensuring the capital adequacy of all of Citi's US broker dealers and ensuring compliance with the customer protection rules.  The department also provides rule interpretations, reviews new business proposals, approves new products, partners with Accounting Policy, Business Groups, Compliance, Legal, Margin, Operations, Risk, and Treasury on regulatory issues.

  • Compliance with SEC Rules 15c3-1 (Net Capital) and 15c3-3 (Customer Reserve Computation)
  • Monitor and manage net capital on a daily basis
  • Oversee the preparation of the monthly focus reporting package and reserve computations.
  • Report regulatory and financial results to senior management
  • Act as the liaison for Finance during regulatory examinations and audits
  • Provide rule interpretations regarding net capital and customer protection
  • Review and approve new business proposals
  • Training and staff development


  • 15+ years in Broker Dealer Regulatory Reporting
  • Strong experience with the SEC's Net Capital and Customer Protection requirements.
  • Strong brokerage accounting knowledge
  • Strong understanding of Brokerage Operations
  • Strong communication skills
  • Regulator relations are a plus
  • 4 year degree in Accounting or Finance
  • Strong leadership capability with prior managerial experience required.