Apply on Employer Site

Citizens · 1 month ago

CSI Principal Control Analyst-Wealth Ops.

One Citizens Bank Way, Johnston, RI, 02919, US

Full-time

Hybrid

Mid Level

3+ years exp

Citizens is a financial services company, and they are seeking a Principal Control Analyst for their Wealth Ops team. The role involves conducting supervisory reviews, risk assessments, and collaborating with internal stakeholders to ensure compliance and address control-related issues.

BankingCredit CardsFinancial ServicesFinTechRetail

No H1B

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

Qualification

FINRA Series 7FINRA Series 63Wealth Management OperationsRisk AssessmentSecurities KnowledgeSystem UtilizationCommunication SkillsProblem-Solving SkillsCustomer-Focused MindsetTime Management SkillsInterpersonal Skills

Required

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

Preferred

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

Company

Citizens

Glassdoor3.6

At Citizens, we recognize that the journey to accomplishment is no longer linear and that individuals are made of all they have done and all they are going to do.

Founded in 1828

Providence, Rhode Island, USA

10001+ employees