CSI Principal Control Analyst - Wealth Ops.Citizens Financial Group • Johnston, RI, US
CSI Principal Control Analyst - Wealth Ops.
Citizens Financial Group • Johnston, RI, US
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job_description.job_card.job_descriptionFINRA 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. 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 M-F : 8 : 30 AM ET - 5 : 00 PM ET - 100% in office until fully trained then potential hybrid 4 days in office 1 day work from home Citizens will not sponsor an applicant for a work visa, such as an H1-B, for this position
Principal Control Analyst
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
Hours & Work Schedule
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Wealth Analyst • Johnston, RI, US
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