Senior Wealth Risk & Compliance Analyst - Hybrid

Citizens Financial Group; Johnston (RI); On-site; USD 90,000 - 130,000; Full time

Job summary

Citizens Financial Group seeks a Principal Control Analyst in Johnston, RI to conduct supervisory reviews and finalize principal determinations for wealth management submissions. The role emphasizes independent work, adherence to best practices, and risk-oriented improvements.

Responsibilities include risk assessment, compliance oversight, control testing, monitoring, and incident investigations. In-office schedule with potential hybrid option after training.

Qualifications

• FINRA licenses – Series 7 & 63 and either Series 24 or Series 9/10 (or plan to obtain within 6 months).
• 3+ years back-office Wealth Management Operations or Wealth Contact Center experience.
• Positive, customer-focused mindset with strong communication and problem-solving skills.

Responsibilities

• Conduct risk assessments to identify operational, regulatory, and compliance risks within wealth management.
• Oversee compliance, control testing and monitoring, and training/awareness.
• Responsible for incident management and investigation.

Skills

Customer Journey Orchestration

Diversity and Inclusion Strategy and/|

Education

High School Diploma or GED

Job description

Citizens Financial Group seeks a Principal Control Analyst in Johnston, RI to conduct supervisory reviews and finalize principal determinations for wealth management submissions. The role emphasizes independent work, adherence to best practices, and risk-oriented improvements.

Responsibilities include risk assessment, compliance oversight, control testing, monitoring, and incident investigations. In-office schedule with potential hybrid option after training.