Intermediate 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 insurance licensing and for key regulatory filings such as branch office securities and/or insurance registrations and employees' regulatory disclosures. The candidate will process insurance licenses and carrier appointments, and review employees' registration and licensing status to ensure compliance with requirements for the employees' roles and business activities, including sales of certain products. The individual must review and understand the applicable regulatory framework and requirements in order to appropriately advise and assess employees' qualifications. The candidate will collaborate extensively with business managers to analyze issues, provide advice, and help to determine and implement solutions. Qualifications Bachelors' degree required Exper

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