Compliance Manager

Description

In this role at Citizens, you’re made ready for a fulfilling career with exciting new challenges and opportunities to stretch yourself.

 As the Compliance Manager, you will work to mitigate risk and assure that Citizens businesses are in compliance with all applicable laws, regulations and policies. Your role will work to design, implement, maintain, and enhance internal controls to mitigate risk on a daily basis. You will identify, measure, and escalate compliance issues to the Compliance Sr Manager where appropriate. You will work with the other Compliance Officers to identify business needs, strategize, and develop standards and procedures to assure Citizens businesses are in compliance. Additionally, you will work to identify process improvement and opportunities for control enhancement.

The Compliance Manager will be responsible for enforcing the procedures and processes of the Wealth Management Surveillance and Monitoring program by performing the following activities:

• Review electronic and manual surveillance reports
• Identify practices that may present a liability to the firm
• Promptly investigate and clearly communicate issues identified as a result of surveillance monitoring activities
• Work with CSI Compliance, Sales Management, and Registered Representatives to mitigate identified risks.
• Participate in team reviews to identify trends or patterns of behavior that could lead to violations.
• Prepare, maintain, and monitor a repository of reports and remedial actions/recommendations resulting from surveillance

Qualifications, Education, Certifications and/or Other Professional Credentials

• FINRA Series 7, 24
• 7+ years of broker dealer/investment advisor compliance experience
• Strong understanding of the rules, regulations and legal requirements of the SEC, FINRA and general state securities and insurance commissions
• Knowledge of operational matters within a Retail B-D and Registered Investment Advisor
• Experience working within a large, complex financial services organization
• Strong working knowledge of the compliance risks associated with a banking institution as well as experience working in and/or building effective compliance programs
• Experience reading and interpreting regulations, laws, and statutes  
• Bachelor’s Degree in Finance, Business or related discipline preferred
• 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

Hours & Work Schedule

• Hours per Week: 40

• Work Schedule: M-F

Pay Transparency 

• The salary range for this position is $x - $y 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.

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.