Securities Principal Control Professional

Updated: June 12, 2024 03:09 PM GMT

Citizens

Central Falls, RI

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... More Detail