Job Description
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 procedu...
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 procedu...
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