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

Citizens; Johnston (RI); Hybrid; USD 90,000 - 120,000; Full time

Job summary

Citizens is seeking a Principal Control Analyst to independently review investment and insurance submissions, determine principal outcomes, and improve control processes within Wealth Management. The role emphasizes risk assessment, regulatory oversight, and incident investigation to support compliant, efficient client service.

The position requires strong FINRA credentials and back-office experience, with an emphasis on communication, problem-solving, and partnership with internal teams.

Qualifications

• FINRA licenses required (Series 7 & 63 and either Series 24 or 9/10 with 6 month timeline).
• 3+ years in back-office Wealth Management Operations or Wealth Contact Center.
• Demonstrated strong active listening and problem-solving skills.

Responsibilities

• Conduct supervisory reviews of submitted investment/insurance business.
• Execute final principal determination for submitted business.
• Perform risk assessments to identify operational, regulatory and compliance risks in Wealth Management.
• Oversee compliance, regulatory oversight, control testing and monitoring; provide training and awareness.
• Lead incident management and investigations as needed.

Skills

FINRA licenses

Wealth management operations

Customer-focused mindset

Active listening

Communication skills

Risk assessment

Education

High school diploma

Tools

Excel

SharePoint

OneDrive

Salesforce

Wealthscape

Job description

Description

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.

• 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.

Required Qualifications

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

• 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

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

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 Posting End Date: 11/11/2026