Job Description

Primarily responsible for managing the day-to-day process of intake/assignment/close out of verbal and written client complaints for a retail broker dealer/RIA and insurance agency business; coordination of the day-to-day activities of the complaint intake function for Citi's broker-dealer, Citigroup Global Markets (“CGMI”); creation of all control reporting of data associated with CGMI customer complaints. This process requires a high degree of detail, oversight of Intake Specialists, subject matter expertise, familiarity with regulatory reporting requirements, and the use of independent judgment and decision making. Responsibilities include coaching a team of Intake Specialists and oversight of their work to ensure matters are correctly identified, analyzed and coded according to regulatory requirements; and, more substantively, determining when and if regulatory reporting on an individual matter basis is required. The Team Lead/Program Manager maintains a role of oversight relative to CGMI’s complaint intake function as well as the Intake Specialists and their day-to-day functions, including the entry of complaints and resolutions into the complaint management application; the creation and distribution of control reporting by the team, on a regular and ad hoc basis, to various business units; and all attendant regulatory reporting requirements, including but not limited to Form U-4 and U-5 amendments and quarterly 4530 reporting to FINRA. The Team Lead/Program Manager possesses a strong understanding of the function, and is responsible for maintaining the correctness of information and details entered into the complaint management application, including the review and evaluation of subordinates' work product to ensure accuracy of data. From time to time, may also be called upon to assist and/or handle other duties related to internal inquiries, audit requests and FINRA regulatory matters, to the extent complaint data metrics are within focus. Identifies and escalates issues, makes recommendations to ensure that appropriate controls are in effect to respond to regulatory, procedural or policy standards. Advises senior staff and management on issues relating to customer complaint data, and assists senior staff and management with data analysis and review. The Team Lead/Program Manager contributes to work flow or process design, develops, improves and supports processes and procedures, and trains and mentors subordinates and junior staff in the intake function. The Team Lead/Program Manager is fully knowledgeable within their areas of expertise and is capable of executing/completing a range of complex tasks and analysis.