Senior Compliance Analyst Regulatory (Buffalo N.Y.)

Company Name:
Salary period: Annual
Description Citi's Registration team, a department within Compliance, manages the registration and insurance licensing processes for Citi's broker/dealer entities and insurance agency, including registrations/licenses for more than 800 branch offices, 9,000 registered representatives, and 2,200 insurance agents. The department's primary responsibilities include: filing branch office registrations; initial filing, maintenance, and termination of individuals' registrations/licenses; filing regulatory disclosures; monitoring completion of continuing education; ordering examination study materials; and processing payments related to registration and licensing processes. The individual in this position will be responsible for assisting the firm's various business lines and individuals in adhering to the securities, commodity, insurance and and/or investment advisor licensing and registration regulations that apply to them. The candidate will work with businesses to assure adequate procedures and controls, provide advice regarding the application of regulations, and assist as needed with implementation. The individual will analyze employees' background information and advise as to whether disclosure to regulators is required. The candidate will make required regulatory filings and produce reports for businesses, as well as preparing the department's control metrics and reports for management. Qualifications Bachelor's degree required; graduate degree preferred Compliance, risk man

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