CSI Regional Control Officer

Citizens • Johnston, RI

1d • Hybrid

About The Position

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.

Requirements

• 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)

Responsibilities

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees