CSI Principal Control Analyst

The Principal Control Analyst , is responsible for conducting supervisory reviews of submitted investment / insurance business and may be responsible for executing final principal determination for the submitted business on behalf of the firm. The incumbent is also responsible for solving a range of complex problems and receives a moderate level of guidance and direction. Lastly, the incumbents are still acquiring higher level knowledge and skills while in this role.

Primary responsibilities include

- The incumbent is responsible for risk assessment and control evaluation, which includes conducting risk assessments to identify potential risks and control gaps within the wealth management division.

- Additionally, the incumbent is responsible for control testing and monitoring, compliance and regulatory oversight, and documentation and reporting.

- Lastly, the incumbent is responsible for stakeholder collaboration, which includes collaboration with internal stakeholders, including risk management, compliance, and business units to address control related issues.
Qualifications, Education, Certifications, and/or Other Professional Credentials

Required Qualifications

- FINRA Licensures: Series 7 & 63 with either Series 24 or Series 9 &10

- 3+ years prior back-office Wealth Management Operations or Wealth Contact Center experience

- Positive and customer-focused mindset

- Proven ability to successfully have strong active listening and problem-solving skills, positive attitude and demonstrated success when interacting with customers; internal teams; and other colleagues.

- Demonstrated strong interpersonal, verbal, and written communication skills.

- Success proven ability to be successful and adapt to a fast-paced, multi-dimensional work environment using strong time management skills.

- Possesses detailed and goal oriented professional approach with an interest in Wealth Management and/or Investment business line.

- Demonstrate broad knowledge of securities and investment products and ability to assess risk – such as alternative investments, options, annuities, equities, bonds/fixed income products, and insurance.

- Strong skills in system utilization and processing for the securities industry and business software programs (Excel, SharePoint, OneDrive,  Salesforce, Wealthscape)

Preferred Qualifications

- FINRA license – Series 4, 53, 65 and/or 66

- 3+ years of compliance supervision

- Past proven successful leadership and/or supervisory experience

- Completed associates and/or bachelors college degree

- Proven record of consistent employment and long-term tenure

Hours & Work Schedule

- M-F: 8:30 AM ET - 5:00 PM ET - 100% in office until fully trained then potential hybrid 4 days in office 1 day work from home