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Securities Principal Control Professional
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- The CSI Principal Control Professional is responsible for conducting supervisory reviews of submitted new account, options, and margin applications; investment and insurance business, and independently decides on approving/declining submitted transactions on behalf of the broker-dealer.
- This individual must have the appropriate FINRA registrations, including but not limited to: Series 4, Series 7, Series 24, Series 63, Series 65 and/or Series 66.
- Exercise reasonable diligence to understand risks associated with client approvals/declines in order to limit broker dealer liability and financial loss
- FINRA registrations Series 7, Series 24, Series 66, and Series 4
- Experience with investment and insurance products including: Annuities, Managed Money, Mutual Funds, Life Insurance, and Structured Products
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