CSI Principal Control Analyst

• 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.

• 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

• 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

• 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