Senior Wealth Risk & Controls Leader

Citizens Bank; Johnston (RI); On-site; USD 95,000 - 130,000; Full time

Job summary

Citizens Bank in Johnston, RI is seeking a Principal Control Analyst to perform supervisory reviews and final principal determinations for wealth management submissions. The role requires independent work with minimal guidance and applying best practices to improve products and services.

You will assess operational, regulatory, and compliance risks, perform control testing, incident management, and training.

Qualifications

• FINRA licenses (Series 7 & 63 and either Series 24 or Series 9/10; if 24 not held, must obtain within 6 months)
• 3+ years in back-office Wealth Management Operations or Wealth Contact Center
• Strong interpersonal, verbal, and written communication skills
• Demonstrated ability to work independently in a fast-paced environment with strong time management

Responsibilities

• Conduct risk assessments to identify operational, regulatory, and compliance risks within wealth management
• Oversee compliance, control testing, monitoring, and training initiatives
• Lead incident management and investigations to resolve issues effectively
• Apply best practices to improve products or services within the wealth management line

Skills

FINRA licenses

Wealth management

Active listening

Communication skills

Time management

Problem solving

Securities knowledge

Education

High School Diploma or GED

Associate or Bachelor’s degree preferred

Tools

Excel

SharePoint

OneDrive

Salesforce

Wealthscape

Job description

Citizens Bank in Johnston, RI is seeking a Principal Control Analyst to perform supervisory reviews and final principal determinations for wealth management submissions. The role requires independent work with minimal guidance and applying best practices to improve products and services.

You will assess operational, regulatory, and compliance risks, perform control testing, incident management, and training.