Control Professional

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.