Saturday , October 23 2021

Citizens Bank Careers For CSI Principal Control Analyst

Website Citizens Bank

Job Description:

Perform principal review on submitted business from financial advisors including complex transactions within the following product types: Annuities, Managed Money, Mutual Funds, Structured Notes, Market-Linked Certificates of Deposits, and Fixed Income. *Products may be added/removed from time to time.

Job Responsibilities:

  • Exercise reasonable diligence to understand benefits and risks associated with client transactions
  • Independently determine business is in good order ensuring adherence with company policies, self-regulatory organizations, and state/federal regulations
  • Identify and articulate 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 understanding of transaction specifics and product detail

Job Requirements:

  • 3 or more years of experience in investment securities sales, sales supervision, operations, or compliance
  • Experience with investment and insurance products including: Annuities, Managed Money, Mutual Funds, Life Insurance, and Structured Products
  • FINRA registrations Series 7, Series 24 and/or Series 9/10, Series 63 and Series 65/66; (Obtain Series 53 within 6 months of hire)
  • Demonstrate close attention to detail
  • Ability to analyze complex situations in a high risk fast- paced environment
  • In depth knowledge of the securities industry, rules, regulations, and sales practices
  • Ability to work independently and as part of a team
  • Excellent interpersonal, verbal, and written communication skills
  • Excellent problem solving skills
  • Excellent decision making skills
  • Good technology skills

Job Details:

Company: Citizens Bank

Vacancy Type: Full Time

Job Functions: OTHER

Job Location: Providence, RI, US

Application Deadline: N/A

Apply Here

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