Control Specialist- Private Client Group
The PCG Control Specialist is responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market and reports the findings to the Market/Complex Admin Manager on a daily basis. Works with the Market/Complex Admin Manager to ensure that branch compliance procedures fulfill all compliance requirements. Performs ongoing regulatory, compliance, and operational reviews as well as other duties as assigned, as delegated by the Market/Complex Admin Manager (e.g., new account forms, daily order review, etc.) for each branch (within the Market/Complex), bringing any deficiencies or concerns to the Market/Complex Admin Manager s attention immediately.
- 3+ years of financial services compliance experience
- Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)
- Strong client service skills
- Strong attention to detail and accuracy skills
- Effective organizational, multi-tasking, and prioritizing skills
- Strong verbal, written, and interpersonal communication skills
- FINRA registration including Series 66 (or FINRA recognized equivalents)
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- Knowledge and understanding of brokerage: systems or applications
- Brokerage operations or compliance experience
- Knowledge and understanding of audit and regulatory compliance
- Ability to work effectively, as well as independently, in a team environment
- Registration for FINRA Series 9/10 and 65 or 66 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
- Registration for FINRA Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
- Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards.