Description
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 straightforward 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.
- The incumbent is responsible for control testing and monitoring, compliance and regulatory oversight, and documentation and reporting.
- 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.
- Research and assist in resolving complex discrepancies relating to client accounts and trading activities
- Perform call outs to clients to confirm their understanding of transaction specifics and product details
Required Qualifications:
- 3 or more years of experience in investment securities sales, sales supervision, operations, or compliance
- Minimum FINRA Active Licensures of Series 7; Series 63; and either Series 24 OR Series 9/10
- Demonstrated history of strong attention to detail
- Demonstrated ability to work in a fast paced, team environment with multiple priorities in a collaborative manner
- Demonstrated strong interpersonal, verbal and written communication skills
- Proven past ability to successfully analyze, problem solve, and make decisions independently
- In depth knowledge of the securities industry, rules, regulations, and sales practices
- Completed High School Degree or GED
Preferred Qualifications:
- Completed Bachelor's Degree
- Series 65 or Series 66
- Experience with investment and insurance products including: Annuities, Managed Money, Mutual Funds, Life Insurance, and Structured Products - Preferred
- Possess ability and willingness to adapt to an ever-changing work environment
- Demonstrated successful job history stability
Hours & Work Schedule:
- Hours per Week: 40
- Work Schedule: M-F 8:30-5:00 PM ET
- 100% in office until deemed sufficiently trained then 1-2 days Work From Home Hybrid
Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.
Equal Employment Opportunity
At Citizens, we are committed to fostering an inclusive culture that enables colleagues to bring their best selves to work every day. Employment decisions are based solely on experience, performance, and ability. 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 (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), 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.
Equal Employment and Opportunity Employer
Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.
Why Work for UsAt Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth
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.
