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Citizens · 3 weeks ago

CSI Principal Control Analyst - Wealth Ops.

Johnston, RI

Full-time

Hybrid

Mid, Senior Level

3+ years exp

Citizens is a financial services company focused on customer-centric solutions. They are seeking a Principal Control Analyst to conduct supervisory reviews and manage risk assessments within the wealth management division, ensuring compliance and collaboration with internal stakeholders.

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 LicensuresWealth Management OperationsRisk AssessmentSecurities knowledgeSystem utilizationCustomer-focused mindsetInterpersonal communicationProblem-solving skillsTime managementLeadership experience

Required

FINRA Licensures: Series 7 & either Series 24 or Series 9/10 along with the Series 63 (or demonstrate the ability to obtain the required Series 63 license within 90 days of hire)

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