<p><strong>Description</strong></p>
The CSI Regional Control Officer (RCO) uses best practices and knowledge of internal or external business issues to improve products or services. The RCO works independently and receives minimal guidance when solving complex problems related to business, administrative and compliance based tasks.
Primary responsibilities include:
- Direct supervision of Registered Reps (FAs) for the broker dealer; provide supervision, guidance, advice and training.
- Ensure Registered Reps understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures.
- Conduct regular branch exams/audits as required in the Written Supervisory Procedures (WSP).
- Respond to findings from Compliance / Internal Audit branch exams/audit visits.
- The incumbent is responsible for risk management and compliance, which includes the development and implementation of risk management strategies and procedures to ensure compliance with regulatory requirements and internal policies.
- Additionally, the incumbent is responsible for control and governance, training and awareness, and incident management.
- Lastly, the RCO is responsible for stakeholder collaboration and communication, which includes collaborating with senior management, business units, and other stakeholders to ensure control objectives are aligned with business goals.
Qualifications, Education, Certifications and/or Other Professional Credentials:
Required Qualifications:
- Licensing Requirements: Must hold active FINRA Series 7, 24, and 63 licenses. In addition, candidates must possess either a Series 65 or 66 license—or demonstrate the ability to obtain the Series 65/66 within 90 days of hire.
- Completed bachelor’s degree
- 5+ years of compliance supervision
- Demonstrate broad knowledge of securities and investment products and ability to assess risk – such as alternative investments, options, annuities, equities, bonds/fixed income products, and insurance.
- Proven ability to successfully have strong active listening and problem-solving skills, persistent enthusiasm when interacting with customers and colleagues.
- Ability to work independently and as part of a team along with the ability to train and support other team members.
- Demonstrated strong interpersonal, verbal, and written communication skills.
- Success proven ability to be successful and adapt to a fast-paced, multi-dimensional work environment using strong time management skills.
- Possesses detailed and goal oriented professional approach
- Strong skills in system utilization and processing for the securities industry and business software programs (Excel, SharePoint, OneDrive, Salesforce)
Hours & Work Schedule:
- Hours per Week: 40
- Work Schedule:
- M-F 8:30 - 5:00 PM ET
- 100% in office until fully trained then the potential for hybrid work schedule: 4 in office and up to 1 day work from home
- Travel: Branch Office Visits -Same Day with Potential for Occasional Overnights
Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.
Equal Employment Opportunity
Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression, genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.