CSI Principal Control Professional - Johnston, RI or Charlotte, NC

The Principal Control Analyst is responsible for conducting supervisory reviews of submitted investment / insurance business and responsible for executing final principal determination for the submitted business on behalf of the firm. Additionally, incumbents in this role work independently, and receive minimal guidance. Lastly, they will use best practices and knowledge of internal or external business issues to improve products or services.

Primary responsibilities include

• The incumbent is responsible for risk assessment and control framework, which includes conducting risk assessments to identify potential operational, regulatory, and compliance risks within the wealth management division.
• Additionally, the incumbent is responsible for compliance and regulatory oversight, control testing and monitoring, and training and awareness.
• Lastly, the Principal Control Professional is responsible for incident management and investigation.

 Qualifications, Education, Certifications, and/or Other Professional Credentials

      Required Qualifications

• FINRA licenses – Series 7 & 63 & either Series 24 or Series 9/10  (but if you do not have the 24, you will be required to get it within 6 months of starting). 
• 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 Qualifications

• 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

Hours & Work Schedule

• M-F: 8:00 AM ET - 5:00 PM ET - 100% in office until fully trained then potential hybrid 4 days in office 1 day work from home

  
  

Equal Employment Opportunity

Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression, genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.

Equal Employment and Opportunity Employer

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Background Check

Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.