Sr. Compliance Manager – Research & Investment Banking

Description

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

Position Overview

Citizens JMP is seeking a Senior Compliance Manager to lead and enhance compliance oversight for our Research and Investment Banking functions. This strategic role is responsible for ensuring adherence to regulatory requirements, internal policies, and ethical standards, while serving as a trusted advisor to senior business leaders across the firm.

The ideal candidate will bring deep subject matter expertise, sound judgment, and a proactive approach to managing regulatory risk in a dynamic, fast-paced environment. Success in this role requires a strong client-centric mindset, resilience, and a commitment to continuous learning and operational excellence.

Key Responsibilities

Regulatory Strategy & Oversight

• Lead compliance monitoring and advisory efforts related to SEC, FINRA, and global regulations governing Research and Investment Banking activities.
• Interpret complex regulatory developments and assess their impact on business practices, ensuring timely implementation of required changes.

Conflict Management & Governance

• Oversee and enhance frameworks for identifying and managing conflicts of interest between Research and Investment Banking, including adherence to the Global Research Settlement and firm-specific protocols.
• Serve as a key contributor to governance processes, including escalation and resolution of potential conflicts.

Advisory & Business Partnership

• Provide senior-level guidance to Research Analysts, Investment Bankers, and front-office teams on regulatory matters, including deal restrictions, disclosures, and analyst independence.
• Act as a strategic compliance partner to ECM, DCM, and Corporate Banking, advising on complex transactions and regulatory implications.

Policy Leadership

• Develop, refine, and implement compliance policies and procedures aligned with regulatory expectations and business objectives.
• Ensure policies are effectively communicated and embedded across relevant teams.

Surveillance & Monitoring

• Oversee reviews of research publications, deal announcements, and trading activity to ensure compliance with internal and external standards.
• Identify trends and emerging risks through data-driven analysis and escalate as appropriate.

Committee Representation

• Serve as the Compliance lead on key governance committees, including the Equity Commitments Committee (ECC), Fixed Income Commitments Committee (FICC), Investment Banking Committee (IBC), and Fairness Opinion Committee (FOC).

Specialized Regulatory Expertise

• Maintain expert-level knowledge of Regulation M, particularly Rule 101, and requirements related to “At the Market” (ATM) offerings and block trade reporting.
• Provide guidance on complex regulatory scenarios and ensure appropriate controls are in place.

Information Barrier Management

• Support the design and enforcement of physical and electronic information barriers between public-side and private-side teams, ensuring compliance with firm and regulatory standards.

Training & Culture Building

• Design and deliver targeted compliance training programs for banking, research, and trading teams.
• Foster a culture of compliance through proactive engagement and education.

Regulatory Engagement & Incident Management

• Lead responses to regulatory inquiries, audits, and examinations related to Research and Investment Banking.
• Investigate potential compliance breaches, document findings, and implement remediation plans.

Qualifications

Education

• Bachelor’s degree in Finance, Law, Business, or related field required; advanced degree or professional certifications (e.g., JD, MBA, CRCM) strongly preferred.

Licensing

• FINRA Series SIE, 79, 24, and 63 required or must be obtained within a defined timeframe upon hire.

Experience

• Minimum 5 years of progressive compliance experience within investment banking, research, or broker-dealer environments.
• Demonstrated expertise in equity and fixed income markets and regulatory frameworks.

Skills & Attributes

• Deep understanding of U.S. securities regulations (SEC, FINRA) and research-related compliance requirements.
• Proven ability to influence senior stakeholders and drive compliance initiatives across complex organizations.
• Exceptional analytical, communication, and interpersonal skills.
• Ability to thrive in a high-pressure, fast-paced environment with shifting priorities.

Work Schedule

• Location: In-office presence required at least 4 days per week.
• Hours: 40 hours/week, Monday–Friday.

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.