CSI Regional Control Officer

Citizens Financial Group • San Francisco, CA

10d • Onsite

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. 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.

Requirements

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

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.
• Development and implementation of risk management strategies and procedures to ensure compliance with regulatory requirements and internal policies.
• Control and governance, training and awareness, and incident management.
• 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: Senior