Phil Cadden
.
- Role
- Principal Control Analyst at Citizens Financial Group, Inc
- Location
- Providence, RI, US
- LinkedIn followers
- 500 followers
About Phil Cadden
I am a principal control analyst with over 15 years of experience in the financial industry and multiple FINRA certifications. I review approximately $500 million in new business annually. I specialize in fee-based accounts, commission accounts, annuities, structured products, and life insurance, analyzing complex transactions on a pre-trade review basis and ensuring compliance with REG BI and other applicable regulations, laws, and rules. I also have a strong leadership ability and a consultative, collaborative mindset, taking a hands-on approach to developing and mentoring new financial advisors and compliance colleagues, leading in multiple departments and facilitating smooth processes. I have a proven track record of reducing the company\'s TRACE and MSRB reporting violations, balancing unrealized P&L reports, and resolving NIGO issues. I am interested in advancing technologies in automation, compliance, and fraud prevention, and I am passionate about delivering value to clients and stakeholders.
Experience
Principal Control Analyst
Jul 2019 — Present · Providence, RI, US
Education
Salve Regina University
Bachelor of Arts - BA
Providence College
Master of Arts - MA
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