FINRA licenses - Series 7 & 63 & either Series 24 or Series 9/10 (Series 24 must be obtained within 6 months if not held)
3+ years in back-office Wealth Management Operations or Wealth Contact Center
Strong active listening and problem-solving skills
Demonstrated interpersonal, verbal, and written communication skills
Ability to thrive in a fast-paced, multi-dimensional work environment
Detail-oriented with a strong interest in Wealth Management and investment products
Knowledge of securities and investment products, including assessing risks
Proficient in relevant business software (Excel, SharePoint, OneDrive, Salesforce, Wealthscape)
Responsibilities
Conduct risk assessments to identify operational, regulatory, and compliance risks.
Oversee compliance and regulatory processes, including control testing and monitoring.
Facilitate training and awareness programs for team members.
Manage incident investigations and resolutions effectively.
Execute final principal determination for submitted business and investment proposals.
Implement best practices to improve products and services within the firm.
Benefits
Work hours M-F from 8:00 AM ET to 5:00 PM ET
Initial requirement of 100% in-office work until fully trained; hybrid potential afterward
Opportunity to work with a leading firm in Wealth Management
Engagement in training and professional development initiatives
Dynamic work environment with growth potential.
Full Job Description
Job Description
The Principal Control Analyst is responsible for conducting supervisory reviews of submitted investment / insurance business and responsible for executing final principal determination for the submitted business on behalf of the firm. Additionally, incumbents in this role work independently, and receive minimal guidance. Lastly, they will use best practices and knowledge of internal or external business issues to improve products or services.
Primary responsibilities include
The incumbent is responsible for risk assessment and control framework, which includes conducting risk assessments to identify potential operational, regulatory, and compliance risks within the wealth management division.
Additionally, the incumbent is responsible for compliance and regulatory oversight, control testing and monitoring, and training and awareness.
Lastly, the Principal Control Professional is responsible for incident management and investigation.
Qualifications, Education, Certifications, and/or Other Professional Credentials
Required Qualifications
FINRA licenses - Series 7 & 63 & either Series 24 or Series 9/10 (but if you do not have the 24, you will be required to get it within 6 months of starting).
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)
Completed high school degree or GED equivalent. 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: 8:00 AM ET - 5:00 PM ET - 100% in office until fully trained then potential hybrid 4 days in office 1 day work from home
