Senior Wealth Ops Control Analyst

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

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.