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

Citizens Bank
Charlotte
Workplace: HybridFull timeFunction: Communications, PR & CommunityExperience: 3+ yearsEducation: high_schoolSkills: ["Customer-focused mindset","Active listening","Problem-solving","Interpersonal communication","Time management","Adaptability"]

Conduct supervisory reviews of submitted investment/insurance business and execute final principal determinations on behalf of the firm. Perform risk assessments to identify operational, regulatory, and compliance risks across the wealth management division, and oversee compliance through control testing, monitoring, and training/awareness. Independently investigate and manage incidents using best practices to improve products and services.

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Citizens Bank
Citizens Bank
3 days ago

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

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Source: Company careers pageValidated by: Fursa AI
Last checked: 5 hours agoStatus: Live

Job Summary

Conduct supervisory reviews of submitted investment/insurance business and execute final principal determinations on behalf of the firm. Perform risk assessments to identify operational, regulatory, and compliance risks across the wealth management division, and oversee compliance through control testing, monitoring, and training/awareness. Independently investigate and manage incidents using best practices to improve products and services.
Location: Charlotte
Workplace: Hybrid
Employment Type: Full time
Job Function: Communications, PR & Community
Seniority: Mid level

Key Responsibilities

  • •Conduct supervisory reviews of submitted investment/insurance business.
  • •Execute final principal determinations for submitted business on behalf of the firm.
  • •Perform risk assessment and control framework activities, including identifying operational, regulatory, and compliance risks within wealth management.
  • •Provide compliance and regulatory oversight, including control testing, monitoring, and training/awareness.
  • •Manage and investigate incidents independently using best practices.

Key Requirements

  • •FINRA licenses: Series 7 & 63 and either Series 24 or Series 9/10 (Series 24 required within 6 months if not held).
  • •3+ years of prior back-office Wealth Management Operations or Wealth Contact Center experience.
  • •Positive, customer-focused mindset with strong active listening and problem-solving skills.
  • •Demonstrated interpersonal, verbal, and written communication skills.
  • •Ability to assess risk across securities and investment products and proficiency with tools such as Excel, SharePoint, OneDrive, Salesforce, and Wealthscape.
Experience:3+ yearsWealth management operationsWealth contact centerCompliance supervisionSecuritiesInvestments
Education:High School
Skills:Customer-focused mindsetActive listeningProblem-solvingInterpersonal communicationTime managementAdaptability
Licenses:FINRA Series 7FINRA Series 63FINRA Series 24FINRA Series 9/10FINRA Series 4FINRA Series 53FINRA Series 65FINRA Series 66
Certifications:FINRA Series 7FINRA Series 63FINRA Series 24FINRA Series 9/10FINRA Series 4FINRA Series 53FINRA Series 65FINRA Series 66
Tech Stack:ExcelSharePointOneDriveSalesforceWealthscape

Company Brief

Citizens Bank
Regional bank offering retail and commercial banking, mortgage lending, wealth management, and payment services to individuals and businesses across the United States.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Providence, United States
Founded: 1828
Website