CSI Principal Control Analyst

Description

The Principal Control Analyst, is responsible for conducting supervisory reviews of submitted investment / insurance business and may be responsible for executing final principal determination for the submitted business on behalf of the firm. The incumbent is also responsible for solving a range of complex problems and receives a moderate level of guidance and direction. Lastly, the incumbents are still acquiring higher level knowledge and skills while in this role.

Primary responsibilities include

• The incumbent is responsible for risk assessment and control evaluation, which includes conducting risk assessments to identify potential risks and control gaps within the wealth management division.
• Additionally, the incumbent is responsible for control testing and monitoring, compliance and regulatory oversight, and documentation and reporting.
• Lastly, the incumbent is responsible for stakeholder collaboration, which includes collaboration with internal stakeholders, including risk management, compliance, and business units to address control related issues.

Qualifications, Education, Certifications, and/or Other Professional Credentials

• Required Qualifications
  • FINRA licenses – Series 7; 63 & 65 OR 66; 9 & 10 OR 24 & 53 
  • 3+ years prior back-office Wealth Management Operations or Wealth Contact Center experience required.
  • Positive and customer-focused mindset
  • Proven ability to successfully have strong active listening and problem-solving skills, positive attitude and demonstrated success when interacting with customers; internal teams; and other colleagues.
  • Demonstrated strong interpersonal, verbal, and written communication skills.  
  • Success proven ability to be successful and adapt to a fast-paced, multi-dimensional work environment using strong time management skills. 
  • Possesses detailed and goal oriented professional approach with an interest in Wealth Management and/or Investment business line.
  • Demonstrate broad knowledge of securities and investment products and ability to assess risk – such as alternative investments, options, annuities, equities, bonds/fixed income products, and insurance.
  • Strong skills in system utilization and processing for the securities industry and business software programs (Excel, SharePoint, OneDrive,  Salesforce, Wealthscape)
  • Completed high school degree or GED equivalent.

• Preferred Qualifications
  • FINRA license – Series 4
  • 3+ years of compliance supervision 
  • Past proven successful leadership and/or supervisory experience
  • Demonstrated successful stable work history
  • Completed associates and/or bachelors college degree

Hours & Work Schedule

• M-F: 8:30 AM ET - 5:00 PM ET
• 100% in office until fully trained then potential hybrid 3 days in office 2 days work from home

Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.

Equal Employment Opportunity

Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression, genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.