Securities Principal Control Professional
Company: Citizens
Location: Austin
Posted on: May 1, 2024
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Job Description:
Description The CSI Principal Control Professional is
responsible for conducting supervisory reviews of submitted new
account, options, and margin applications; 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 4, Series 7, Series 24, 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 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. Why Work for Us At Citizens, you'll find a
customer-centric culture built around helping our customers and
giving back to our local communities. When you join our team, you
are part of a supportive and collaborative workforce, with access
to training and tools to accelerate your potential and maximize
your career growth
Keywords: Citizens, Round Rock , Securities Principal Control Professional, Other , Austin, Texas
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