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Citizens Financial Group
CSI Regional Control OfficerCitizens Financial Group • San Diego, CA, United States
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CSI Regional Control Officer

CSI Regional Control Officer

Citizens Financial Group • San Diego, CA, United States
30+ days ago
Salary
$95,000.00 yearly
Job type
  • Full-time
Job description

Job Description

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: 40
  • Work Schedule: Monday - Friday

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

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.

Job Info

  • Job Identification 46886
  • Job Category Advisory & Relationship Management
  • Degree Level Bachelor's Degree
  • Job Schedule Full time
  • Job Shift 1st
  • Locations 101 California St, San Francisco, CA, 94111, US 12626 High Bluff Dr, San Diego, CA, 92130, US
  • Working Hours 40
  • Career Site Category Wealth and Asset Management
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CSI Regional Control Officer • San Diego, CA, United States

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