CSI Principal Control Anlyst

2 weeks ago

Johnston, United States Citizens Full time
Job Description

Description

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 straightforward 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.

Specific duties include:    

  • Exercise reasonable diligence to understand risks associated with client approvals/declines in order to limit broker dealer liability and financial loss 
  • Independently determine business is in good order ensuring adherence with company policies, self regulatory organizations, and state/federal regulations
  • Research and assist in resolving complex discrepancies relating to client accounts and trading activities
  • Collaborate with other business lines including Compliance, Operations, and Sales teams 
  • Perform call outs to clients to confirm their understanding of transaction specifics and product details

Qualifications

  • Bachelor's Degree
  • 5 or more years of experience in investment securities sales, sales supervision, operations, or compliance 
  • FINRA registrations Series 7, Series 24,  Series 66
  • Demonstrate close attention to detail 
  • Ability to analyze complex situations in a high risk fast- paced environment 
  • In depth knowledge of the securities industry, rules, regulations, and sales practices 
  • Ability to work independently and as part of a team 
  • Excellent interpersonal, verbal, and written communication skills 
  • Excellent problem-solving skills, and decision-making skills 
  • Experience with investment and insurance products including: Annuities, Managed Money, Mutual Funds, Life Insurance, and Structured Products

Hours & Work Schedule

  • Hours per Week:  40
  • Work Schedule:  M-F

Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.

Equal Employment Opportunity

At Citizens, we are committed to fostering an inclusive culture that enables colleagues to bring their best selves to work every day. Employment decisions are based solely on experience, performance, and ability. Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws.

Equal Employment and Opportunity Employer

Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.

Why Work for UsAt Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth

Background Check

Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.

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