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Compliance Branch Inspections Manager

Risk

Fort Washington, Pennsylvania; Johnston, Rhode Island; Westwood, Massachusetts; Ohio; Remote

Description

The Branch Inspections Manager (Citizens Securities, Inc.) is responsible for working within Citizens Securities, Inc.’s Compliance Department to ensure that the Inspection Program (Program) appropriately addresses the regulatory risks relative to the Division/Unit’s business activities. 

The Branch Inspections Manager will:

  • Manage a team of branch inspectors that perform field inspections of Financial Advisors, Offices of Supervisory Jurisdiction, registered Bank personnel and Back Office Departments, and ensure timely reporting, responses and remediation of risk issues identified to Compliance and Business management. 
  • Provide reporting to the CCO/DCCO regarding inspection findings, planning, and other matters related to branch and Financial Advisor activities.

Qualifications 

  • FINRA Series 7, 24 Required
  • 7+ years of broker dealer compliance/investment advisory experience
  • Experience reading and interpreting regulations, laws, and statutes.  
  • Experience working within a large, complex financial services organization.  
  • Knowledge of operational matters within a Retail B-D and Registered Investment Advisor 
  • Strong working knowledge of the compliance risks associated with a banking institution as well as experience working in and/or building effective compliance programs. 
  • Strong understanding of examination principles and practices for the securities industry 
  • Strong understanding of the rules, regulations, legal requirements of the SEC, FINRA and general state securities and insurance commissions 
  • Should be able to work effectively with others at all levels across the organization and provide authoritative guidance to management and staff within the organization.

 Education:

  • Bachelors' degree Required.

Hours & Work Schedule; 3 days in the office - Travel up to 20%

  • Hours per Week: 40 
  • Work Schedule: Monday-Friday

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Equal Employment Opportunity

At Citizens we value diversity, equity and inclusion, and treat everyone with respect and professionalism. Employment decisions are based solely on experience, performance, and ability. Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws.

Equal Employment and Opportunity Employer

Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.

Benefits

We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more.

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Awards We've Received

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FORTUNE’s World’s Most Admired Companies

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Human Rights Campaign Corporate Equality Index 100 Award

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Military Friendly® Employer

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Bloomberg Gender Equality Index, Standout

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Dave Thomas Foundation’s Best Adoption-Friendly Workplace

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DiversityInc
Top Regional Company for Diversity

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Forbes America's Best Large Employers

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National Organization on Disability's Leading Disability Employer

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