Easter Seals Jobs

Description

Citizens Private Wealth is expanding its West Coast operations and hiring a Regional Control Officer to support Wealth Manager teams. This person will provide regulatory supervision and business support for operations and client service solutions. The Regional Control Officer, uses best practices and knowledge of internal or external business issues to improve products or services. The officer works independently, and receives minimal guidance when solving complex problems related to business, administrative and compliance based tasks.

Primary responsibilities include

• The Regional Control Officer will work closely with the Wealth Managers/Private Wealth Transition Manager and the Head of Wealth Managers to identify solutions, streamline processes and support business while also providing regulatory supervision.

• 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 officer 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.

Qualifications

• Current FINRA Series 7 & 24 required

• Series 4 required or will be required to obtain within the first 90 days

• 10+ years of experience in brokerage/RIA operations with at least 3 of which include time in regulatory supervision

• Bachelors degree preferred

• Demonstrated proficiency working with high performing brokers/advisors with High Net Worth/Ultra High Net Worth clientele

Pay Transparency

The salary range for this position is $100,000 - $125,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the 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 very local and state jurisdiction in the United States. For an overview of our benefits, visit https://jobs.citizensbank.com/benefits.

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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

Background Check

Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.

08/16/2024