FINRA Series 7 & 63 required; Series 24 or Series 9/10 needed within 6 months of hire
Minimum of 3 years experience in Wealth Management Operations or Wealth Contact Center
Strong customer-focused mindset with proven interpersonal skills
Demonstrated ability to adapt in a fast-paced environment with excellent time management
Broad knowledge of securities and investment products along with risk assessment skills
Strong proficiency in relevant software including Excel, SharePoint, OneDrive, Salesforce, and Wealthscape
Responsibilities
Conduct risk assessments to identify operational, regulatory, and compliance risks
Manage compliance and regulatory oversight along with control testing and monitoring
Provide training and raise awareness of compliance practices
Handle incident management and investigations as they arise
Communicate best practices to improve products and services based on thorough analysis
Benefits
Opportunity for professional growth within a reputable firm
Potential hybrid work model after initial training period
Supportive team environment with room for leadership development
Access to ongoing training and professional development programs
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
