Securities Principal Control Professional

Description

The CSI Principal Control Professional is responsible for conducting supervisory reviews of submitted new investment and insurance business, and independently decides on approving/declining submitted transactions on behalf of the broker-dealer. This individual must have the appropriate FINRA registrations, including but not limited to: Series 7, Series 24, Series 4, Series 63, Series 65 and/or Series 66.

Specific duties include:

• Exercise reasonable diligence to understand risks associated with client approvals/declines in order to limit broker dealer liability and financial loss

• Independently determine business is in good order ensuring adherence with company policies, self regulatory organizations, and state/federal regulations

• Research and assist in resolving complex discrepancies relating to client accounts and trading activities

• Collaborate with other business lines including Compliance, Operations, and Sales teams

• Perform call outs to clients to confirm their understanding of transaction specifics and product details

Qualifications

• Bachelor's Degree

• 5 or more years of experience in investment securities sales, sales supervision, operations, or compliance

• FINRA registrations Series 7, Series 24, Series 4, Series 66

• Demonstrate close attention to detail

• Ability to analyze complex situations in a high risk fast- paced environment

• In depth knowledge of the securities industry, rules, regulations, and sales practices

• Ability to work independently and as part of a team

• Excellent interpersonal, verbal, and written communication skills

• Excellent problem-solving skills, and decision-making skills

• Experience with investment and insurance products including: Annuities, Managed Money, Mutual Funds, Life Insurance, and Structured Products

Hours & Work Schedule

• Hours per Week: 40
• Work Schedule: M-F

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

At Citizens we value diversity, equity and inclusion, and treat everyone with respect and professionalism. Employment decisions are based solely on experience, performance, and ability. 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 (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), 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.

Equal Employment and Opportunity Employer

Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.

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.

Benefits

We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more.

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Awards We've Received

FORTUNE's World's Most Admired Companies

Human Rights Campaign Corporate Equality Index 100 Award

Military Friendly Employer

Age-Friendly Institute's Certified Age-Friendly Employer

Bloomberg Gender Equality Index, Standout

Dave Thomas Foundation's Best Adoption-Friendly Workplace

DiversityInc

Top Regional Company for Diversity

Forbes America's Best Large Employers

National Organization on Disability's Leading Disability Employer