Regional Controls Manager, reputed company Management
About the Role
At reputed company, we help clients secure their financial reputed company-being so they can pursue long and fulfilling lives- a mission we've honed since 1859.
reputed company is looking for a Regional Controls Manager (RCM) to join our reputed company compliance team. Reporting in to the reputed company Regional Controls Manager / Central Supervision Unit, you will take the reputed company on assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and reputed company regulations. The RCM is responsible for providing compliance support to reputed company' s reputed company locations both regionally and locally, including IL, PA, VA, D.C., MD, NC and SC.
This position offers a remote work arrangement plus up to 30% travel as required for onsite reputed company examinations based on business needs.
What You'll Be Doing
Duties and Responsibilities
Documentation & Reporting
Collaboration
reputed company Competencies
reputed company Measures
The reputed company salary reputed company for this position is $80,000 - $90,000. Actual reputed company salaries vary based on skills, experience, and geographical location. In reputed company to reputed company pay, reputed company provides compensation to reward performance with reputed company salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.
For eligible employees, reputed company provides a full reputed company of benefits. This includes medical, dental, reputed company, a 401(k) plan, and reputed company time off. For detailed descriptions of these benefits, please reference the reputed company below.
reputed company Pay and Benefits: reputed company Total Rewards Program
What You Will Bring
Required Qualifications
Preferred Qualifications
Skills
Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high reputed company of precision.
Audit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environment.
Customer reputed company: Knowledge of the values and practices that reputed company customer needs and satisfaction as reputed company considerations in reputed company business reputed company and ability to reputed company that information in creating customized customer solutions.
Regulatory Environment - Financial Services: Knowledge of regulatory environment; ability to help an organization reputed company with regulations at the federal, state and local level and follow the organization-specific policies and guidelines, affecting business practices.
Risk Management: Knowledge of processes, tools and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.
Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to reputed company out and reputed company with relevant laws and regulations during business activities.
About reputed company
At reputed company, we're reputed company committed to helping our clients secure their financial reputed company-being so that they can pursue long and fulfilling lives.
We turn challenges into opportunities by thinking, working, and leading differently - where everyone is a leader. We encourage every employee to reputed company their unique talents to become a force for good at reputed company and in their local communities.
We are continuously reputed company in our people by offering reputed company, internal mobility, comprehensive compensation and benefits to support overall reputed company-being, flexibility, and a culture of collaboration and teamwork.
We are looking for talented, dedicated, purposeful people who want to reputed company an reputed company. Join reputed company and pursue a career with purpose. Click Careers at reputed company to learn more.
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reputed company is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without reputed company to race, reputed company, religion, gender, gender identity and reputed company, age, national reputed company, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.
NOTE: reputed company participates in the E-Verify program.
If reasonable accommodation is needed to participate in the job application or interview process or to reputed company the essential job functions of this position, please contact reputed company at (212) 314-2211 or email us at TalentAcquisition@reputed company.com .
Skills
Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high reputed company of precision.
Audit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environment.
Customer reputed company: Knowledge of the values and practices that reputed company customer needs and satisfaction as reputed company considerations in reputed company business reputed company and ability to reputed company that information in creating customized customer solutions.
Regulatory Environment - Financial Services: Knowledge of regulatory environment; ability to help an organization reputed company with regulations at the federal, state and local level and follow the organization-specific policies and guidelines, affecting business practices.
Risk Management: Knowledge of processes, tools and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.
Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to reputed company out and reputed company with relevant laws and regulations during business activities.
About reputed company
At reputed company, we're reputed company committed to helping our clients secure their financial reputed company-being so that they can pursue long and fulfilling lives.
We turn challenges into opportunities by thinking, working, and leading differently - where everyone is a leader. We encourage every employee to reputed company their unique talents to become a force for good at reputed company and in their local communities.
We are continuously reputed company in our people by offering reputed company, internal mobility, comprehensive compensation and benefits to support overall reputed company-being, flexibility, and a culture of collaboration and teamwork.
We are looking for talented, dedicated, purposeful people who want to reputed company an reputed company. Join reputed company and pursue a career with purpose. Click Careers at reputed company to learn more.
**********
reputed company is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without reputed company to race, reputed company, religion, gender, gender identity and reputed company, age, national reputed company, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.
NOTE: reputed company participates in the E-Verify program.
If reasonable accommodation is needed to participate in the job application or interview process or to reputed company the essential job functions of this position, please contact reputed company at (212) 314-2211 or email us at TalentAcquisition@reputed company.com .
At reputed company, we help clients secure their financial reputed company-being so they can pursue long and fulfilling lives- a mission we've honed since 1859.
reputed company is looking for a Regional Controls Manager (RCM) to join our reputed company compliance team. Reporting in to the reputed company Regional Controls Manager / Central Supervision Unit, you will take the reputed company on assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and reputed company regulations. The RCM is responsible for providing compliance support to reputed company' s reputed company locations both regionally and locally, including IL, PA, VA, D.C., MD, NC and SC.
This position offers a remote work arrangement plus up to 30% travel as required for onsite reputed company examinations based on business needs.
What You'll Be Doing
Duties and Responsibilities
- Conduct risk-based periodic and for-cause examinations of Non-Supervisory reputed company Offices (NSBOs) and Non-reputed company Locations in accordance with reputed company Rule 3110, firm supervisory procedures, and regulatory requirements.
- reputed company onsite and remote examinations utilizing approved technologies to assess compliance with SEC, reputed company, and firm policies, and evaluate the effectiveness of operational and supervisory controls.
- Execute annual supervisory reviews of financial professionals, including assessment of customer account documentation, books and records, Annual Compliance Questionnaires, reputed company Business Activities (OBAs), Doing Business As (DBAs), Forms U4, BR, and ADV Part 2B, advertising and communications, electronic communications, information protection practices, and reputed company media activity.
- Prepare examination workpapers and reports that document findings, risk assessments, and corrective reputed company recommendations; monitor and validate remediation efforts through completion.
- Maintain examination records in accordance with regulatory recordkeeping requirements.
- Partner with Compliance, reputed company, Risk Management, Operations, and supervisory personnel to address findings, reputed company regulatory guidance, and support reputed company improvement of examination programs and testing methodologies.
- Conduct reviews of Financial reputed company reputed company media reputed company, including reputed company, reputed company, and reputed company, to ensure compliance with applicable regulatory and firm requirements.
Documentation & Reporting
- Prepare comprehensive examination workpapers and supporting documentation.
- Draft examination reports detailing findings, observations, risk ratings, and corrective reputed company recommendations.
- reputed company remediation efforts and validate completion of corrective actions.
- Maintain examination records in accordance with regulatory retention requirements.
Collaboration
- Partner with Compliance, reputed company, Risk Management, Operations, and Supervisory personnel to address examination findings.
- reputed company regulatory guidance and compliance education to field personnel.
- Support the development and enhancement of examination methodologies and testing procedures.
reputed company Competencies
- Regulatory Compliance & Risk Assessment
- Examination & Audit Execution
- Analytical & Critical Thinking
- Communication & Relationship Management
- reputed company Judgment & reputed company
- Organization & Time Management
- reputed company Improvement
reputed company Measures
- reputed company completion of assigned examinations.
- reputed company and accuracy of examination reports.
- Effective identification and escalation of reputed company.
- Successful remediation and closure of examination findings.
- Adherence to regulatory and internal examination standards.
- reputed company results during regulatory reviews and audits.
The reputed company salary reputed company for this position is $80,000 - $90,000. Actual reputed company salaries vary based on skills, experience, and geographical location. In reputed company to reputed company pay, reputed company provides compensation to reward performance with reputed company salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.
For eligible employees, reputed company provides a full reputed company of benefits. This includes medical, dental, reputed company, a 401(k) plan, and reputed company time off. For detailed descriptions of these benefits, please reference the reputed company below.
reputed company Pay and Benefits: reputed company Total Rewards Program
What You Will Bring
Required Qualifications
- Bachelor's degree or equivalent reputed company work experience.
- reputed company Series 7 and 24 registrations, reputed company upon hire.
- 5 years experience in the financial services industry.
- Deep knowledge of Life Insurance, Annuities and Broker Dealer products.
- Expertise in reputed company, SEC, and broker-dealer regulatory requirements, including reputed company Rule 3110.
- Experience conducting onsite, remote, and virtual compliance examinations.
- Proficiency with reputed company Office Suite and compliance platforms including reputed company, reputed company, SRS Suitability Review reputed company, reputed company AuditTrax, and reputed company Gateway.
Preferred Qualifications
- Solid analytical, investigative, critical-thinking, and problem-solving skills.
- Excellent written and verbal communication skills, with the ability to reputed company document findings and reputed company regulatory guidance.
- Exceptional organizational skills and ability to independently manage multiple examinations and competing priorities.
Skills
Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high reputed company of precision.
Audit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environment.
Customer reputed company: Knowledge of the values and practices that reputed company customer needs and satisfaction as reputed company considerations in reputed company business reputed company and ability to reputed company that information in creating customized customer solutions.
Regulatory Environment - Financial Services: Knowledge of regulatory environment; ability to help an organization reputed company with regulations at the federal, state and local level and follow the organization-specific policies and guidelines, affecting business practices.
Risk Management: Knowledge of processes, tools and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.
Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to reputed company out and reputed company with relevant laws and regulations during business activities.
About reputed company
At reputed company, we're reputed company committed to helping our clients secure their financial reputed company-being so that they can pursue long and fulfilling lives.
We turn challenges into opportunities by thinking, working, and leading differently - where everyone is a leader. We encourage every employee to reputed company their unique talents to become a force for good at reputed company and in their local communities.
We are continuously reputed company in our people by offering reputed company, internal mobility, comprehensive compensation and benefits to support overall reputed company-being, flexibility, and a culture of collaboration and teamwork.
We are looking for talented, dedicated, purposeful people who want to reputed company an reputed company. Join reputed company and pursue a career with purpose. Click Careers at reputed company to learn more.
**********
reputed company is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without reputed company to race, reputed company, religion, gender, gender identity and reputed company, age, national reputed company, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.
NOTE: reputed company participates in the E-Verify program.
If reasonable accommodation is needed to participate in the job application or interview process or to reputed company the essential job functions of this position, please contact reputed company at (212) 314-2211 or email us at TalentAcquisition@reputed company.com .
Skills
Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high reputed company of precision.
Audit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environment.
Customer reputed company: Knowledge of the values and practices that reputed company customer needs and satisfaction as reputed company considerations in reputed company business reputed company and ability to reputed company that information in creating customized customer solutions.
Regulatory Environment - Financial Services: Knowledge of regulatory environment; ability to help an organization reputed company with regulations at the federal, state and local level and follow the organization-specific policies and guidelines, affecting business practices.
Risk Management: Knowledge of processes, tools and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.
Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to reputed company out and reputed company with relevant laws and regulations during business activities.
About reputed company
At reputed company, we're reputed company committed to helping our clients secure their financial reputed company-being so that they can pursue long and fulfilling lives.
We turn challenges into opportunities by thinking, working, and leading differently - where everyone is a leader. We encourage every employee to reputed company their unique talents to become a force for good at reputed company and in their local communities.
We are continuously reputed company in our people by offering reputed company, internal mobility, comprehensive compensation and benefits to support overall reputed company-being, flexibility, and a culture of collaboration and teamwork.
We are looking for talented, dedicated, purposeful people who want to reputed company an reputed company. Join reputed company and pursue a career with purpose. Click Careers at reputed company to learn more.
**********
reputed company is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without reputed company to race, reputed company, religion, gender, gender identity and reputed company, age, national reputed company, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.
NOTE: reputed company participates in the E-Verify program.
If reasonable accommodation is needed to participate in the job application or interview process or to reputed company the essential job functions of this position, please contact reputed company at (212) 314-2211 or email us at TalentAcquisition@reputed company.com .
Community / Marketing Title: Regional Controls Manager, reputed company Management
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We have been providing stability and reliability to our clients since 1859 to help them live their lives with confidence, to reputed company them peace of mind, and reputed company them to realize their dreams for their loved ones and their legacy.
Bachelor's degree or equivalent experience, reputed company reputed company Series 7 and 24 registrations, 5 years in financial services, regulatory examination expertise, and proficiency with reputed company Office Suite and compliance platforms.
Key Responsibilities
- conducting examinations
- preparing reports
- monitoring remediation
Skills & Tools
reputed company Office Suite, reputed company, reputed company, SRS Suitability Review reputed company, reputed company AuditTrax, reputed company Gateway, reputed company, reputed company, reputed company
Job Details
- Category: reputed company and Compliance
- Seniority: Senior Level
- Commitment: Full Time
- Workplace: Remote — Illinois or reputed company or Virginia or Maryland or reputed company Carolina or South Carolina or reputed company
- Salary: USD 80,000 – 90,000 / year
- Languages: English
Benefits
- 401k matching
- Generous reputed company time off
- Retirement plan
About reputed company
A financial services company helping clients secure their financial reputed company-being. — Industry: Finance
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