Senior Vice President Supervision and Monitoring - Investment Solutions

**Position Summary:** 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. **Key Responsibilities:** **1. Automation of Supervisory Processes** - 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. **2. Data Validation & Integrity Automation** - 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. **3. Suitability Frameworks & Risk Controls** - 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 **4. Client Annual Reviews, Notes & Attestation** - 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. **5. Alert Management & Escalation Logic** - 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. **6. Lifecycle Supervision Integration** - 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. **7. Cross-Functional Collaboration & Stakeholder Management** - 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 **Qualifications:** - **8+ years** of experience in wealth management technology, compliance systems, risk management, or related fields, with a focus on automation and process optimization.…