Summary
Overview
Work History
Education
Skills
Certification
Personal Information
Additional Information
Languages
Timeline
Generic

Arsen Zhukov

Jacksonville,FL

Summary

Results-oriented professional with extensive experience in supervisory roles within the financial services industry. Proven track record in team management, compliance, and business risk analysis. Demonstrates strong leadership and analytical skills, consistently driving team growth and operational efficiency. Adept at developing and implementing strategic initiatives, managing cross-functional teams, and ensuring regulatory compliance. Committed to fostering a collaborative work environment and delivering exceptional service and solutions to clients.

Overview

6
6
years of professional experience
1
1
Certification

Work History

Vice President: Supervisory Principal

Citi Global Markets
01.2024 - Current
  • Daily review of Actimize Sales Practices Monitoring trade blotter, alerts, and electronic order tickets; periodic review of escalated matters from Compliance Surveillance department
  • Correspondence review and audit retention including incoming and outgoing letters, faxes, and escalated email surveillance cases
  • Prepare for and assist in internal and external (regulatory) audits, examinations, and other compliance testing initiatives
  • Review, resolution, and approval of daily, weekly, and monthly supervisory and surveillance reports in Pershing's NetX360 supervisory platform
  • Provide trade reviews and pre-approvals for Financial Advisors
  • Review and approve operations-related and service requests, include trade errors and miscellaneous corrections
  • Review for quality and completeness client financial profile records, and identifies and resolves any discrepancies with sales and service personnel
  • Maintains complete supervisory documentation in certain electronic files required by firm and regulatory policies.

Assistant Vice President: Business Risk Senior Analyst

Citi Global Markets
10.2022 - 01.2024
  • Wealth DEI Leadership Forum Recipient for 2023
  • Acted in primary function of leading book of work (BOW) management in relations to Fraud, Elder Exploitation, and Ad Hoc Requests
  • Streamlined Fraud and Elder Exploitation workflow and improved efficiency cross business ownership through salesforce
  • Conducted thorough reviews related to Fraud and Elder Exploitation/FINRA 2165, implemented measures to mitigate risks and safeguard assets
  • Completed reputational risk review for high-risk clients to retain or exit relationship
  • Worked on corrective action plan (CAP) remediation and Go Forward Controls
  • Reviewed client trading activity in relation to fraudulent activity and worked with legal and Compliance on go forward controls
  • Ensured accurate and timely delivery of key changes to the business
  • Created and managed end to end calendar with critical steps, dependencies, and dates
  • Hosted kick-off calls with change owner to gather stakeholders, begin impact assessment and identify leads from each functional group to be part of the project
  • Provided ongoing 1:1 consultative training to change owners on both process and tools, as well as provide general training to raise awareness of GCM process
  • Developed analytics and reporting to track effectiveness of process and identified potential process improvements
  • Developed Workflow Management tools
  • SME to senior stakeholders and /or other team members.

Officer: Licensed Associate

Citi Global Markets
10.2021 - 10.2022
  • Assess risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding Citigroup, its clients, and assets, by driving compliance with applicable laws, rules, and regulations, adhering to Policy.

High Net Worth Associate

Fidelity Investments
01.2021 - 09.2021
  • Excellent communication and interpersonal skills with clients, business partners, team, and department.
  • engaged with clients, via inbound calls, responding to their inquires which may include providing product and service level guidance, processing transactions to include options, equities, mutual funds, margin, precious medals trades and other specialized monetary requests.
  • Delivered efficient and responsive resolution for various client situations. Own the management of the case, research the issue, and communicate the solution to the client.
  • Proactively uncovered opportunities and identify products and services that will enhance the client’s financial success and partner with the Financial Consultant to further discuss with the client.
    Collaborated with internal business partners to research and resolve complex client requests.
  • Conducted pro-active outbound calls to communicate resolution to the client or secure additional information to close out the request.
  • Proven client service, client support and problem resolution skills through multiple positive client escalation.
  • Robust time management and organizational skills.
  • Partnered with Financial Consultants in the Investor Centers and the Regional Contact Centers to assist in managed products, account inquiries, and funding.
  • Demonstrated accurate trading ability and documentation with specific attention to detail skills.
    Guided on Account Opening (AO) and Account Transfers (ACAT).
  • Actively used decision tree tools to navigate clients through financial decisions.

Financial Services Representative

Bank of America Merrill Lynch
10.2019 - 01.2021
  • Ranked number one within the segment in Jacksonville for service to sales and number seven across sites
  • Top Site performer for the month – December 2019, January 2020, March 2020, April 2020
  • Top Site performer overall for first Quarter 2020. Top site performer overall runner up second Quarter 2020
  • Consistently received top two box for client satisfaction survey’s
  • Built and deepened productive relationships with prospective and current clients to drive optimal client experience
  • Provided exceptional client care in assisting clients with site navigation, money movement, document retrieval, and troubleshooting
  • Cultivated client relationships through high levels of direct communication to maintain client loyalty
    Deescalated clients and provided point of call resolution
  • Educated clients on different aspects of their relationship with Merrill and what other benefits can be provided
  • Continuously coached teammates in various methods of identifying outside assets and transitioning the call from service to sales

Team Leader

Farah & Farah
08.2018 - 03.2019
  • Established open and professional relationships with team members to achieve quick resolutions for various issues.
  • Assisted in recruitment to build team of top performers.
  • Optimized customer experience by delivering superior services and effectively troubleshooting issues.
  • Created and managed project plans, timelines and budgets.
  • Conducted regular reviews of operations and identified areas for improvement.
  • Evaluated employee performance and coached team members, increasing quality of work and employee motivation.
  • Led employee relations through effective communication, coaching, training, and development.
  • Established performance goals for employees and provided feedback on methods for reaching those milestones.

Education

Bachelor of Arts in Political Science -

UNIVERSITY OF NORTH FLORIDA
01.2018

Bachelor of International Studies with Minor in Public Administration - undefined

UNIVERSITY OF NORTH FLORIDA
01.2018

Skills

  • Strategic Planning
  • Procedure Development
  • Compliance Monitoring
  • Schedule Management
  • Risk Management
  • Project Management
  • Data Analysis
  • Stakeholder Communication
  • Risk Mitigation
  • Cross-Functional Collaboration
  • Team Supervision

Certification

  • SIE
  • Series 7
  • Series 63
  • Series 66
  • Series 9
  • Series 10
  • Series 24

Personal Information

Title: Vice President: Supervisory Principal

Additional Information

Series 7, Series 66, Series 9, Series 10, Series 24

Languages

Russian
Limited Working

Timeline

Vice President: Supervisory Principal

Citi Global Markets
01.2024 - Current

Assistant Vice President: Business Risk Senior Analyst

Citi Global Markets
10.2022 - 01.2024

Officer: Licensed Associate

Citi Global Markets
10.2021 - 10.2022

High Net Worth Associate

Fidelity Investments
01.2021 - 09.2021

Financial Services Representative

Bank of America Merrill Lynch
10.2019 - 01.2021

Team Leader

Farah & Farah
08.2018 - 03.2019

Bachelor of Arts in Political Science -

UNIVERSITY OF NORTH FLORIDA

Bachelor of International Studies with Minor in Public Administration - undefined

UNIVERSITY OF NORTH FLORIDA

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