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
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
Job Applicant Data Privacy Policy
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.
Skills Required
- FINRA Series 7 and Series 63 licenses, plus either Series 24 or Series 9 and 10
- 3 or more years of back-office wealth management operations or wealth contact center experience
- Positive, customer-focused mindset
- Strong active listening, problem-solving, interpersonal, verbal, and written communication skills
- Ability to adapt to a fast-paced, multidimensional work environment and manage time effectively
- Detailed, goal-oriented professional approach with interest in wealth management or investments
- Broad knowledge of securities and investment products, including alternative investments, options, annuities, equities, bonds, fixed income, and insurance
- Proficiency with securities-industry systems and business software, including Excel, SharePoint, OneDrive, Salesforce, and Wealthscape
- FINRA Series 4, 53, 65, and/or 66 licenses
- 3 or more years of compliance supervision experience
- Leadership and/or supervisory experience
- Associate or bachelor's degree
- Consistent employment history and long-term tenure
Citizens Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Citizens and has not been reviewed or approved by Citizens.
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Parental & Family Support — Policies include six weeks of fully paid parental leave for all parents, up to 16 weeks for birthing parents, 10 days of emergency back‑up care, and adoption assistance of more than $25,000. Recognition for adoption support underscores a strong family‑friendly posture.
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Leave & Time Off Breadth — Time off includes 11 paid holidays and up to 27 PTO days. The breadth of leave is presented as generous versus many peers.
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Healthcare Strength — Medical, dental, and vision options pair with an HSA that includes a company contribution, plus mental‑health access via Spring Health (eight no‑cost sessions), Hinge Health, wellness programs, and discounted gyms. Eligibility at 20+ hours per week broadens access to these resources.
Citizens Insights
What We Do
As one of the oldest and largest financial services firms in the United States with a history dating back to 1828, we’re committed to providing solutions and expertise that support our customers, clients, colleagues, and communities in what’s next on their own unique journey. We invest in the humans who build the logic, ideas, and innovations that bring new technologies to life. Investments in AI, cloud computing, machine learning and automation provide our engineers the tools that enable us to remain competitive and win in today’s environment. 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. Whether you’re considering banking with us or looking to work with us, you’ll find a customer-centric culture and a supportive, collaborative workforce at Citizens. You’re made ready and so are we. If you're ready to advance your career in technology and security, learn more about opportunity's Citizens offers here: https://jobs.citizensbank.com/digital-transformation
Why Work With Us
We empower the colleagues that power our tech. With growth & upskilling opportunities and sought-after benefits, plus a diverse culture of people and perspectives, we help our colleagues achieve career goals. Because innovation can’t happen without the minds and hearts of our people. Technology is constantly evolving, and we believe you can too.
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