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

The Principal Control Analyst is responsible for conducting supervisory reviews of submitted investment/insurance business and executing the final principal determination on behalf of the firm. The role works independently with minimal guidance and applies best practices and knowledge of internal or external business issues to improve products or services.

Primary Responsibilities

• Conduct risk assessments to identify operational, regulatory, and compliance risks within the wealth management division.
• Provide compliance and regulatory oversight, including control testing and monitoring.
• Develop and deliver training and awareness programs.
• Manage incident investigation and resolution.

Required Qualifications

• FINRA licenses – Series 7 & 63 & either Series 24 or Series 9/10 (if Series 24 is not held, it must be obtained within 6 months of starting).
• 3+ years prior back‑office Wealth Management Operations or Wealth Contact Center experience.
• Positive, customer‑focused mindset with strong active listening and problem‑solving skills.
• Excellent interpersonal, verbal, and written communication abilities.
• Proven ability to thrive in a fast‑paced, multi‑dimensional environment with strong time‑management skills.
• Detail‑oriented, goal‑oriented professional approach with interest in Wealth Management and/or Investment business lines.
• Broad knowledge of securities and investment products (alternative investments, options, annuities, equities, bonds/fixed income, insurance) and ability to assess risk.
• Strong proficiency with industry systems and business software (Excel, SharePoint, OneDrive, Salesforce, Wealthscape).
• High school diploma or GED equivalent.

Preferred Qualifications

• Additional FINRA licenses – Series 4, 53, 65 and/or 663.
• + years of compliance supervision experience.
• Demonstrated leadership or supervisory experience.
• Associate’s or bachelor’s degree.
• Proven record of consistent employment and long‑term tenure.

Hours & Work Schedule

M‑F: 8:00 AM ET – 5:00 PM ET – 100% in office until fully trained, then potential hybrid (4 days in office, 1 day work from home).

Why Work for Us

At 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 become part of a supportive and collaborative workforce with access to training and tools that accelerate your potential and maximize your career growth.