CSI Principal Control Analyst
Charlotte, NC, United States2d ago
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Key details
- Location
- Charlotte, NC, United States
- Work style
- Onsite
- Level
- Lead / Staff+
- Job type
- Full-time
- Experience
- 3–6 yrs
- Function
- Operations & Strategy
- Focus area
- other
- Posted
- 2d ago
Skills
About the role
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