Citizens Financial Group

Runs consumer and commercial banking services

Principal Control Analyst

Regulatory Compliance & EthicsConfirmed live in the last 24 hours

Full-timeCharlotte, NC, USANo salary listed

About the Job

Requirements

Hold FINRA Series 7 and Series 63 licenses, plus either Series 24 or Series 9 and Series 10.
Have at least 3 years of prior back-office Wealth Management Operations or Wealth Contact Center experience.
Demonstrate strong active listening and problem-solving skills, a positive attitude, and success interacting with customers, internal teams, and colleagues.
Demonstrate strong interpersonal, verbal, and written communication skills.
Adapt to a fast-paced, multidimensional work environment using strong time-management skills.
Have a detailed, goal-oriented professional approach and an interest in Wealth Management and/or the Investment business line.
Demonstrate broad knowledge of securities and investment products and the ability to assess risk, including alternative investments, options, annuities, equities, bonds/fixed-income products, and insurance.
Have strong system-utilization and processing skills for the securities industry and business software programs, including Excel, SharePoint, OneDrive, Salesforce, and Wealthscape.

Responsibilities

Conduct supervisory reviews of submitted investment and insurance business and, as applicable, execute final principal determinations for submitted business on behalf of the firm.
Conduct risk assessments to identify potential risks and control gaps within the wealth management division.
Perform control testing and monitoring, compliance and regulatory oversight, and documentation and reporting.
Collaborate with internal stakeholders, including risk management, compliance, and business units, to address control-related issues.
Solve a range of complex problems while receiving a moderate level of guidance and direction.

Desired Qualifications

Hold FINRA Series 4, Series 53, Series 65, and/or Series 66 licenses.
Have at least 3 years of compliance supervision experience.
Have prior successful leadership and/or supervisory experience.
Have completed an associate's and/or bachelor's college degree.
Have a proven record of consistent employment and long-term tenure.

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

Required Qualifications

FINRA Licensures: Series 7 & 63 with 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)

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: 8:30 AM ET - 5:00 PM ET - 100% in office until fully trained then potential hybrid 4 days in office 1 day work from home

About the Company

Citizens Financial Group

Runs consumer and commercial banking services

Citizens Financial Group runs consumer and commercial banking businesses for households, small firms and larger companies, alongside wealth management. Through Citizens Bank, it accepts deposits, processes payments and lends for homes, education and business needs through branches and digital channels. Its commercial teams manage corporate cash flows, arrange financing and advise on mergers and acquisitions, while its private bank serves wealthy families and business owners. The group earns interest on loans and securities, pays interest on deposits and charges fees for financial services and advice. Its banking roots date to 1828, and it is headquartered in Providence, Rhode Island.

Company size: 10,001+
Company stage: IPO
Headquarters: Providence, RI
Founded: 1828

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