CSI Principal Control Analyst-Wealth Ops.

Citizens Financial Group, Inc. • Johnston, RI

32d • Hybrid

About The Position

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.

Requirements

• FINRA licenses - Series 7 & 63& either Series 24 or Series 9/10.
• 3+ years prior back-office Wealth Management Operations or Wealth Contact Center experience
• 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.

Nice To Haves

• FINRA license - Series 4, 53, 65 and/or 66
• 3+ years of compliance supervision
• Past proven successful leadership and/or supervisory experience
• Completed associates and/or bachelors college degree
• Proven record of consistent employment and long-term tenure

Responsibilities

• 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.

Benefits

• We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more.

What This Job Offers

• Job Type: Full-time
• Career Level: Principal
• Industry: Management of Companies and Enterprises
• Education Level: High school or GED
• Number of Employees: 5,001-10,000 employees