CSI Regional Control Officer

CSI Regional Control Officer

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.

Required Qualifications:

• FINRA licenses – Series 7; 24; 63 & 65 (or 66).
• Completed bachelor's degree
• 5+ years of compliance supervision

Required Skills:

• Customer Journey Orchestration
• Diversity and Inclusion (D&I) Strategy and Policy
• Empowering Others
• Sales and Trading
• Securities Services
• Wealth Management

About Us:

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.

Equal Employment and Opportunity Employer

Job Applicant Data Privacy Policy

Background Check

Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.

Job Info:

• Job Identification 46905
• Job Category Advisory & Relationship Management
• Degree Level Bachelor's Degree
• Job Schedule Full time
• Job Shift 1st
• Locations 1283 Hooksett Road, Hooksett, NH, 03106, US 20 Corporate Woods Blvd, Albany, NY, 12211, US
• Working Hours 40
• Career Site Category Wealth and Asset Management