Compliance Specialist

Description

Citizens is seeking a highly motivated Senior Compliance Specialist to join the Swap Dealer Compliance team. This role supports the firm’s registered swap dealer activities and ensures adherence to regulatory requirements under the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA).

The Senior Compliance Specialist provides foundational support for the swap dealer compliance program, working closely with Compliance Officers and Managers to ensure adherence to regulatory requirements and internal policies. This role focuses on operational compliance tasks, documentation, and assisting with monitoring activities.

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.

Primary Responsibilities

• Perform routine compliance checks and assist with daily monitoring of swap dealer activities.
• Assist in preparing compliance reports, dashboards, and documentation updates.
• Help administer compliance training programs.
• Escalate potential compliance issues to Compliance Officers promptly and accurately.
• Conduct periodic reviews of trading activity and escalate potential issues.

• Support recordkeeping processes to ensure compliance with CFTC and NFA retention requirements.

Required Skills 

• Bachelor’s degree in Finance, Economics, Legal Studies, or related field.
• Strong analytical, organizational, and communication skills.
• Proficiency in Excel, PowerPoint, and Word.

Preferred Qualifications

• Internships in financial services or relevant coursework.

• Exposure to derivatives or swap dealer operations.

• Experience with AI.

Hours and Work Schedule:

• Hours per Week: 40
• Location: NYC
• Work Schedule: Monday – Friday, 4 days in the office, 1 day remote.

Pay Transparency:

The salary range for this position is $36-$48 per hour.   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.

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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.