CSI Principal Control Analyst

Citizens • Charlotte, NC

5d • 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 position is responsible for risk assessment and control evaluation within the wealth management division, including identifying potential risks and control gaps. It also conducts control testing and monitoring, provides compliance and regulatory oversight, and performs documentation and reporting. The analyst collaborates with internal stakeholders in risk management, compliance, and business units to address control-related issues.

The schedule is Monday through Friday, 8:30 AM to 5:00 PM ET. The role is 100% in office until fully trained, with the potential to move to a hybrid schedule of four days in office and one day working from home.

Requirements

• FINRA licenses: Series 7 and 63, plus either Series 24 or Series 9 and 10.
• At least 3 years of prior back-office Wealth Management Operations or Wealth Contact Center experience.
• Positive, customer-focused mindset.
• Strong active listening and problem-solving skills, a positive attitude, and demonstrated success interacting with customers, internal teams, and colleagues.
• Strong interpersonal, verbal, and written communication skills.
• Ability to adapt successfully to a fast-paced, multidimensional work environment using strong time-management skills.
• Detailed and goal-oriented professional approach and an interest in Wealth Management and/or the Investment business line.
• Broad knowledge of securities and investment products and ability to assess risk, including alternative investments, options, annuities, equities, bonds/fixed-income products, and insurance.
• Strong system-utilization and processing skills for the securities industry and business software programs, including Excel, SharePoint, OneDrive, Salesforce, and Wealthscape.

Nice To Haves

• FINRA license Series 4, 53, 65, and/or 66.
• At least 3 years of compliance supervision experience.
• Past successful leadership and/or supervisory experience.
• Completed associate's and/or bachelor's college degree.
• A proven 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, when responsible for doing so.
• Conduct risk assessments to identify potential risks and control gaps within the wealth management division.
• Perform control testing and monitoring.
• Provide compliance and regulatory oversight.
• Complete documentation and reporting.
• Collaborate with risk management, compliance, and business units to address control-related issues.

What This Job Offers

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