Regional Control Associate

About the Role

The Regional Control Associate supports business and service initiatives across the Region, working closely with the Regional Risk and Business Service Officer (RRBSO) and Associate Regional Risk and Business Service Officer (ARRBSO).

Key Responsibilities

• Manage business and service initiatives as an extension of the RRBSO and ARRBSO(s).
• Support Market Management during Branch Examinations to demonstrate supervisory function and identify training opportunities.
• Conduct office visits for periodic control testing and review market self-assessment testing related to the audit readiness program.
• Act as a liaison between Market Risk and Service Teams and the ARRBSO/RRBSO for escalations.
• Review and action regional approvals, including:
• Pricing exceptions (lending/advisory)
• Entitlements Provisioning and Reporting
• 4th Party Checks
• Credit Adjustments
• Entertainment and Conferences
• Oversee and execute service controls in partnership with Market Risk and Business Service Officers (MRBSOs) to ensure timeliness and completeness.
• Manage remediation efforts, including data analytics and reporting, to drive results.
• Standardize operating procedures, leveraging national best practices and guidance, to support coaching and training of the service leadership team.
• Administer other duties delegated by the Regional Management Team, including:
• Managing guardianship adjustments
• Large error reporting
• Fraud escalations
• State registration waivers
• AFG
• Executing on strategic firm and regional priorities

Requirements & Tech Stack

• Four-year college degree or professional certification preferred.
• Previous industry management experience required.
• Active Series 7 (GS), Series 9 and Series 10 (SU), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) required.
• Other licenses as required for the role or by management.

Qualifications

• Strong attention to detail.
• Ability to manage relationships, motivate, and lead groups of people at various levels.
• Effective written and verbal communication skills.
• Ability to prioritize and resolve complex problems and escalate as necessary.
• Ability to provide comprehensive solutions to complex issues.
• Exceptional organizational and time management skills.
• Exceptional conflict resolution skills.
• Ability to travel within the Region and Home Office as needed.
• Must be decisive and comfortable working in a fast-paced environment.
• Proactive to identify processes and procedures to improve efficiency.