Wealth Supervision Head – Director

Citi

. Manage a team of over 50 FINRA-licensed colleagues responsible for the supervisory oversight of investments sales activity and client suitability across Wealth’s Citigold/Citi Private Client Retail Branch Network .

Posted 5/5/2026full-timeLong Island City • Florida, New York, Texas • 🇺🇸 United StatesLead💰 $170,000 - $300,000 per yearWebsite

About the role

Key responsibilities & impact

Manage a team of over 50 FINRA-licensed colleagues responsible for the supervisory oversight of investments sales activity and client suitability across Wealth’s Citigold/Citi Private Client Retail Branch Network
Establish, maintain, and supervise compliance with applicable securities laws and regulations
Drive strategic direction of the team and require solid conceptual/practical understanding of supervisory processes
Drive process enhancement across the Business, Control Partners, Second and Third Lines of Defense
Be escalation-point for Compliance, Regulatory, Litigation, and HR matters
Author and implement Written Supervisory Procedures in accordance with FINRA regulations
Provide supervision of Risk Control team's efforts and assist with prioritizing and addressing roadblocks encountered
Ensure that emerging risks identified are socialized with key stakeholders and mitigation strategies are in place

Requirements

What you’ll need

FINRA Series 7, 66 (or 63 and 65), 24, 4, 53 (and/or 9/10)
Relevant 15+ years of supervisory experience in the financial industry; compliance or other risk experience also preferred
Experience managing teams with broad accountability in a complex environment
Ability to work effectively in a cross-functional organization
Ability to balance strategic priorities with tactical actions
Proven track record and accountability in making quick decisions that have an immediate impact on business financials
Strong Leadership skills
Strong staff development and ability to delegate
In-depth knowledge of Bank and Broker-Dealer businesses
Strong knowledge and experience in complex investment products such as Alternatives, Structured Products, Derivatives, Syndicate, Options and Third Party Managed Funds
Ability to multi-task, assess and balance diverse priorities
Strong presentation skills with ability to interact with all levels of Citi Management
Ability to work in a team-oriented environment
Strong analytical skills
Excellent written and verbal communication skills
Strong organizational and time management skills
Excellent interpersonal, relationship, negotiating and diplomacy skills
Ability to work independently, execute on agreed upon timelines and work under pressure
Experience in internal/external audit management
Strong problem-solving skills
Ability to see the big picture with high attention to critical details
Demonstrated ability to contribute to/participate in process improvement initiatives
Ability to identify issues/trends, evaluate alternatives and recommend comprehensive and innovative solutions
Strong Project Management Skills
Proficiency in MS Office (including Excel, PowerPoint, SharePoint, and Teams), Pershing NetX360, Actimize Surveillance, Salesforce and other related business applications preferred

Benefits

Comp & perks

medical, dental & vision coverage
401(k)
life, accident, and disability insurance
wellness programs
paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

FINRA Series 7FINRA Series 66FINRA Series 24FINRA Series 4FINRA Series 53supervisory processesinvestment productsrisk controlprocess improvementaudit management

Soft Skills

leadershipstaff developmentstrategic prioritizationanalytical skillscommunication skillsorganizational skillsproblem-solving skillsteamworkpresentation skillstime management

Certifications

FINRA Series 7FINRA Series 66FINRA Series 24FINRA Series 4FINRA Series 53