Regional Control Associate
Core
Manage business and service initiatives, oversee audit practices, and execute service controls to support Regional Risk and Business Service Officers.
Role type
Senior IC Regional Control Associate
Builds
Service control reviews, audit readiness assessments, and remediation reports
Domain
Financial Services / Risk Management
Required skills
Series 7, Series 9, Series 10, Series 66, Series 63, Series 65 licenses, audit readiness program knowledge, data analytics, project management, conflict resolution
Preferred skills
Industry management experience, four-year college degree or professional certification
Technologies
Data analytics tools, reporting systems
Responsibilities
Coordinate and track Market/Branch audit practices, conduct office visits for control testing, review regional approvals (pricing, entitlements, credit adjustments), manage remediation efforts, standardize operating procedures, support Branch Examinations
Seniority
Senior, hands-on IC