Senior Vice President Supervision and Monitoring - Investment Solutions

Citi • New York, NY

3d • $163,600 - $245,400 • Onsite

About The Position

We are seeking a seasoned and strategic SVP of Supervision and Monitoring with a strong track record of leadership and deep expertise in wealth management technology, compliance systems, and automation. This role will be responsible for driving the design and implementation of automated supervisory, regulatory driven frameworks across the wealth management platform, focusing on reducing manual processes through intelligent automation and aligning client disclosure/control holistically. The SVP will play a critical role in improving data integrity, reducing operational risk, and enhancing compliance across the client lifecycle from goal setting to account execution.

Requirements

• 8+ years of experience in wealth management technology, compliance systems, risk management, or related fields, with a focus on automation and process optimization.
• Proven expertise in automating manual processes across wealth management operations, with a strong background in client lifecycle management, data integrity, and supervisory controls.
• Deep understanding of investment suitability, client risk profiling, and regulatory requirements around client reviews, annual attestations, and portfolio monitoring.
• Extensive experience with automation platforms (e.g., Appian, Pega), data validation tools, and dashboarding solutions (e.g., Power BI, Tableau).
• Strong leadership skills, with the ability to manage cross-functional teams and drive large-scale strategic initiatives.
• Excellent communication skills, able to effectively engage with executive leadership and technical teams.

Nice To Haves

• Experience in leading the digital transformation of wealth management platforms, especially in the context of hybrid advisory or digitally-enabled wealth management firms.
• In-depth knowledge of FINRA, SEC, Reg BI, and other relevant regulatory frameworks governing wealth management.
• Expertise in designing and optimizing platforms for both compliance and user experience, with a focus on automation and reducing manual oversight.
• Knowledge of banking and lending product supervision, including regulatory compliance and risk management within the context of wealth management.
• Experience with the supervision of complex financial products, including credit, lending, and other banking services, and how these integrate within a wealth management framework.

Responsibilities

• Lead the automation of core supervision processes, including client annual reviews, suitability checks, account monitoring, and trade surveillance, to replace manual workflows and improve efficiency.
• Identify opportunities to automate manual processes across the supervision stack, ensuring compliance and reducing operational overhead.
• Develop and implement automated data validation frameworks across the entire client account lifecycle, ensuring data accuracy, completeness, and regulatory compliance.
• Establish automated systems for real-time monitoring of data discrepancies and exceptions, minimizing the risk of manual errors.
• Spearhead the creation of scalable suitability frameworks that integrate client goals and risk profiles with investment strategies, automating the suitability assessment and ensuring alignment with firm-wide policies for risk, concentration, and diversification.
• Design and deploy automated compliance controls to monitor and manage deviations from approved investment guidelines and policies.
• Oversee the development and automation of the client annual review process, ensuring consistent, timely reviews with automated workflows for collecting client feedback, notes, and attestation.
• Automate attestation workflows to ensure all necessary documentation is captured and validated during client reviews, maintaining compliance with regulatory requirements.
• Ensure that client review summaries and action items are automatically recorded and integrated into client profiles to provide advisors with up-to-date, actionable insights.
• Lead the development of automated alerting and escalation frameworks to flag supervisory exceptions, risks, and compliance deviations across the platform.
• Manage the creation of a centralized compliance dashboard to aggregate and visualize all alerts, enabling real-time, data-driven decision-making.
• Ensure supervision controls are seamlessly integrated into the client lifecycle—from account onboarding and annual reviews to account maintenance and trading processes.
• Embed automated pre- and post-trade suitability checks within the platform, minimizing manual intervention and ensuring compliance without disrupting the user experience.
• Work closely with Wealth Technology, Risk, Compliance, Supervision, Operations, and Product teams to design, develop, and deploy integrated solutions that streamline supervisory workflows.
• Act as the primary liaison between business leaders and technical teams, ensuring platform capabilities align with both business objectives and regulatory compliance.
• Challenge existing policies and processes, where appropriate, to drive a simpler Citi Wealth organization of the future.

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Executive
• Education Level: No Education Listed