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    Registered Principal - Charlotte, United States - First Citizens Bank

    First Citizens Bank
    First Citizens Bank Charlotte, United States

    3 weeks ago

    Default job background
    Description

    Overview:
    This position reviews client accounts to ensure appropriate information and documentation is present for principal approval. Examines new account documentation and sources any missing information. Evaluates securities and insurance transactions, exception reports, and flagged transactions based on suitability information provided by the client. Investigates and resolves securities or trade exceptions. Supports field associates and management by ensuring the accuracy, completeness, and suitability of provided client information.

    Responsibilities:
    Review - Responsible for principal approval review for securities and insurance transactions, exception reports, flagged transactions, and client accounts. Ensures all required information and documentation is present for principal approval requirements.
    Investigation - Researches any discrepancies in client-provided information and documentation. Investigates and takes corrective action on system-generated trade exceptions. Resolves or escalates any unsuitable securities transactions.
    Business Support - Addresses inquiries or requests from sales managers and field associates. Provides timely solutions for securities transaction problems that comply with all applicable regulations. Maintains a department-wide system that ensures consistent monitoring of document or information requests.
    Business Proficiency - Maintains a strong knowledge of Financial Industry Regulatory Authority requirements, U.S. Securities and Exchange Commission regulations, Bank policy, and other mandatory rules affecting securities and trade. Utilizes knowledge to provide guidance and identify discrepancies during principal approval reviews.

    Qualifications:
    Bachelor's Degree and 6 years of experience in Brokerage OR High School Diploma or GED and 10 years of experience in Brokerage

    License or Certification Type:
    Possess valid Series 7, 24, 53, 63 & 65 or 66, and state-specific life and health insurance licenses Required, Possess valid Series 4 license Preferred

    Skill(s): Knowledge of offered products, riders, and client suitability
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