The Regulatory Department is responsible for the rules that require U.S. registered broker/dealers to maintain sufficient liquid assets to satisfy their capital requirements and for the safeguarding of customer funds held by the broker-dealer. The primary entity that is subject to these rules is Citigroup Global Markets Inc "CGMI", plus other small broker-dealers. Regulatory works closely with Treasury, Accounting, Operations, Product Control, Risk, the Business Units as well as Legal and Compliance. Currently this department is seeking an experienced Regulatory Analyst to join the team.

Responsibilities:

• Ensure continuous compliance with all financial regulatory reporting requirements relating to SEA Rule 15c3-1 and 15c3-3;
• Produce certain aspects of the daily and month end Net Capital and Customer reserve computations (SEA Rule 15c3-1 and 15c3-3)
• Participate in the preparation of the monthly Focus reporting package relating to SEA Rule 15c3-1 and 15c3-3;
• Report financial results to senior management
• Assist with the SEC & FINRA supplemental financial reporting
• Liaison with regulatory examination teams and auditors during examinations and audits
• Participate in the month end balance sheet close.
• Special Project Work
• Participate in the cross training program
• Review business proposals

Qualifications:

• Must have working knowledge of SEC rules and regulations, primarily SEA Rule 15c3-1 and SEA Rule 15c3-3;
• Minimum of 5-7 years experience in an SEC Regulatory capacity;
• The ideal candidate should be highly motivated and must have excellent oral and written communication skills to effectively communicate throughout the organization;
• Must demonstrate problem solving and organizational skills and attention to detail and accuracy;
• Should have some brokerage operations knowledge and be familiar with stock brokerage accounting;
• Proficient in Microsoft Office, with strong MS Excel skills required.

Education:

• Bachelor's degree required; Accounting or Finance degree

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Job Family Group:
Finance
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Job Family:
Financial Accounting
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Time Type:
Full time
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Primary Location:
New York New York United States
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Primary Location Full Time Salary Range:
$129,840.00 - $194,760.00

In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.
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Anticipated Posting Close Date:
Apr 23, 2024
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Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi .