Principal Controls Analyst – Wealth Management

Citizens; Charlotte (NC); Hybrid; USD 90,000 - 120,000; Full time

Job summary

Citizens in Charlotte, NC seeks a Principal Control Analyst to conduct supervisory reviews of submitted investment and insurance business and to execute final principal determinations on behalf of the firm. The role requires independent work, strong communication, and deep knowledge of securities and wealth management products.

The position focuses on risk assessment, control testing, incident management, and training to ensure regulatory compliance within a fast-paced wealth management

Qualifications

• 3+ years back-office Wealth Management operations or wealth contact center experience
• FINRA licenses required or expected within 6 months of starting
• Strong written and verbal communication skills

Responsibilities

• Conduct risk assessments and support the control framework within wealth management
• Perform supervision and principal determinations for submitted business
• Handle incident management and investigations
• Provide training and awareness on compliance and regulatory oversight

Skills

Risk assessment

Regulatory understanding

Interpersonal communication

Active listening

Time management

Customer-focused mindset

Education

High School Diploma or GED

Associate's or Bachelor's degree

FINRA licenses required

Tools

Excel

SharePoint

OneDrive

Salesforce

Wealthscape

Job description

Citizens in Charlotte, NC seeks a Principal Control Analyst to conduct supervisory reviews of submitted investment and insurance business and to execute final principal determinations on behalf of the firm. The role requires independent work, strong communication, and deep knowledge of securities and wealth management products.

The position focuses on risk assessment, control testing, incident management, and training to ensure regulatory compliance within a fast-paced wealth management