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
Hours & Work Schedule
- Hours per Week:
- Work Schedule:
Pay Transparency
The salary range for this position is $95,000 - $118,000 per year. Actual pay is based on various factors including but not limited to the budget, work location, and relevant skills and experience.
We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens’ paid time off policy exceeds the mandatory, paid sick or paid time-away policy of every local and state jurisdiction in the United States. For an overview of our benefits, visit https://jobs.citizensbank.com/benefits .
About UsEqual 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.
Citizens Charlotte, North Carolina, USA Office
4250 Congress St, Charlotte, NC, United States, 28209
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