Fixed Income Compliance Manager

Description

Company Overview

Citizens JMP Securities, LLC (CJMP), a subsidiary of Citizens Financial Group, operates as a FINRA-registered institutional broker-dealer offering comprehensive services in M&A advisory, investment banking, corporate finance, equity research, and sales and trading.

Job Description

We are seeking a Compliance Officer for our Fixed Income Sales & Trading team. Reporting to the Head of Sales & Trading Compliance, this role guides front office staff on regulatory and policy compliance.

To thrive as a colleague at Citizens, candidates must demonstrate a strong customer-centric mindset, exhibit persistence and resilience in the face of challenges, and embrace continuous learning to adapt and grow in a dynamic environment.

Responsibilities

• Provide real-time compliance advice to Sales & Trading teams.
• Monitor trading activity and resolve exceptions related to trade reporting, order handling, and surveillance alerts.
• Conduct daily reviews for best execution and regulatory compliance.
• Oversee TRACE reporting and analyze performance metrics.
• Assess regulatory changes, and update policies and procedures accordingly.
• Collaborate with Risk, Legal, Operations, and Technology to enhance controls and compliance frameworks.
• Develop and deliver ongoing compliance training.
• Lead responses to regulatory audits, exams, and inquiries.

Qualifications

• FINRA Series 7 required; Series 24 and 57 preferred.
• 2 to 5 years’ experience in Fixed Income Sales & Trading compliance at a FINRA registered broker dealer.
• In-depth knowledge of SEC and FINRA rules (trade reporting, markups/markdowns, suitability, communications).
• Familiarity with regulatory initiatives (best execution, fair pricing, 15c3-5, front running).
• Proficiency with trading and back-office systems (Bloomberg TOMS, Kynex, Fidessa, Nasdaq Smarts).
• Bachelor’s degree required.
• Strong analytical, communication, and organizational skills.
• Demonstrated commitment to ethical standards and regulatory compliance.
• Willingness to assist with other Core Compliance functions on a regular basis.

Hours and Work Schedule: 

At least 4 days in office

Hours per Week: 40

Work Schedule: Monday-Friday

Pay Transparency

The salary range for this position is $84,000-$126,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the work location, and relevant skills and experience.

We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens’ paid time off policy exceeds the mandatory, paid sick or paid time-away policy of every local and state jurisdiction in the United States. For an overview of our benefits, visit https://jobs.citizensbank.com/benefits .

Citizens will not sponsor an applicant for a work visa, such as an H-1B, for this position.

Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.

Equal Employment Opportunity

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, 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. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.