CSI Principal Control Analyst - Wealth Ops.

Citizens; Johnston (RI); Hybrid; USD 75,000 - 95,000; Full time

Job summary

A financial services firm in Johnston, RI is seeking a CSI Principal Control Analyst for Wealth Ops. This role involves conducting supervisory reviews of investment submissions, performing risk assessments, and collaborating with internal stakeholders. Candidates should have at least 3 years of experience in wealth management and relevant FINRA licenses. The position requires strong problem-solving skills and is primarily in-office with potential for hybrid scheduling post-training.

Qualifications

• 3+ years prior back‑office Wealth Management Operations or Wealth Contact Center experience.
• FINRA Licensures: Series 7 & either Series 24 or Series 9/10 along with the Series 63.
• Demonstrates broad knowledge of securities and investment products.

Responsibilities

• Conduct risk assessments to identify potential risks and control gaps.
• Collaborate with internal stakeholders to address control related issues.
• Monitor compliance and regulatory oversight.

Skills

Customer-focused mindset

Strong active listening skills

Problem-solving skills

Strong interpersonal skills

Time management skills

Knowledge of securities and investment products

Communication skills

Education

High school degree or GED equivalent

Tools

Excel

Salesforce

Wealthscape

SharePoint

OneDrive

Job description

CSI Principal Control Analyst – Wealth Ops

Citizens

Join to apply for the CSI Principal Control Analyst - Wealth Ops. role at Citizens

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

• Risk assessment and control evaluation, including conducting risk assessments to identify potential risks and control gaps within the wealth management division.
• Control testing and monitoring, compliance and regulatory oversight, and documentation and reporting.
• Stakeholder collaboration with internal stakeholders, including risk management, compliance, and business units to address control related issues.

Qualifications

Required Qualifications

• FINRA Licencures: 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.
• Demonstrates 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 bachelor’s 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.
• Citizens will not sponsor an applicant for a work visa, such as an H1‑B, for this position.

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.

Why Work for Us

At 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.