CSI Principal Control Analyst

Citizens Financial Group • Charlotte, NC

4d • Hybrid

About The Position

The Principal Control Analyst conducts supervisory reviews of submitted investment and insurance business and may execute final principal determinations on behalf of the firm. The role solves complex problems with a moderate level of guidance and direction while continuing to develop higher-level knowledge and skills.

The analyst assesses risk and evaluates controls within the wealth management division, tests and monitors controls, oversees compliance and regulatory matters, and documents and reports findings. The role also collaborates with risk management, compliance, and business units to address control-related issues.

Requirements

• Hold FINRA Series 7 and Series 63 licenses, plus either Series 24 or Series 9 and Series 10.
• Have 3 or more years of prior back-office Wealth Management Operations or Wealth Contact Center experience.
• Demonstrate a positive, customer-focused mindset.
• Demonstrate active listening and problem-solving skills, a positive attitude, and success interacting with customers, internal teams, and colleagues.
• Have strong interpersonal, verbal, and written communication skills.
• Adapt successfully to a fast-paced, multi-dimensional work environment and demonstrate strong time-management skills.
• Use a detailed, goal-oriented professional approach and have an interest in Wealth Management and/or the Investment business line.
• Have broad knowledge of securities and investment products and the ability to assess risk, including alternative investments, options, annuities, equities, bonds/fixed income products, and insurance.
• Have strong system utilization and securities-industry processing skills, including familiarity with Excel, SharePoint, OneDrive, Salesforce, and Wealthscape.

Nice To Haves

• FINRA Series 4, 53, 65, and/or 66 license.
• 3 or more years of compliance supervision experience.
• Successful leadership and/or supervisory experience.
• Completed associate's and/or bachelor's degree.
• Record of consistent employment and long-term tenure.

Responsibilities

• Conduct supervisory reviews of submitted investment and insurance business.
• Execute final principal determinations for submitted business on behalf of the firm, as applicable.
• Assess risks and identify potential risks and control gaps within the wealth management division.
• Conduct control testing and monitoring.
• Provide compliance and regulatory oversight.
• Document and report control-related findings.
• Collaborate with risk management, compliance, and business units to address control-related issues.
• Solve complex problems with a moderate level of guidance and direction.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed