Primary Location: United States,Florida,Tampa
Education: Bachelor's Degree
Job Function: Compliance and Control
Shift: Day Job
Employee Status: Regular
Travel Time: No
Job ID: 18062086
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.
Intake Specialist supports the customer complaint intake function of Citigroup Global Markets, Inc.; responsible for carrying out the day-to-day process of intake/close out of verbal and written client complaints for the retail broker dealer/RIA and insurance agency business.
This position requires a working knowledge of FINRA customer complaint regulatory requirements as well as high attention to detail and a degree of independent judgment and decision making with regard to the accurate analysis of each customer complaint to determine the nature of the allegations, identification of the correct FINRA problem and product codes and, more substantively, the determination of whether there is any regulatory reporting required, under the management and oversight of a Team Lead/Program Manager.
The Intake Specialist is responsible for implementing policies and procedures and maintaining the correctness of information and details entered into the complaint management application.
The Intake Specialist applies subject matter knowledge and professional judgment to independently analyze matters and transactions. Is able to interpret and analyze complaint data metrics and generate regular and ad hoc control reporting to various business units. Identifies inconsistencies in data and formulates solutions and options.
Under the direct oversight of the Team Lead/Program Manager, assists with the preparation and submission of the broker-dealer's regulatory reporting, including but not limited to Form U-4 and U-5 amendments and quarterly 4530 reporting to FINRA. From time to time, the incumbent may also be called upon to assist and/or handle other duties related to internal inquiries, audit requests, and FINRA regulatory matters.
requirement of at least a bachelor's degree from an accredited institution, and prior broker-dealer experience strongly preferred