Broker Dealer Marketing and Advertising Compliance Officer

Description

As a part of our team, you’re made ready for a fulfilling career with exciting new challenges and opportunities to stretch yourself! As the First Line Risk Manager, you will represent the first line of defense and play a key role in identifying, managing, and mitigating the risk and compliance control environment. You will develop practical solutions to improve the risk management process at Citizens by utilizing ongoing risk assessment processes (both formal and informal) to identify areas for enhancement. You will collaborate with business lines to define and implement risk and remediation activities, and track events to ensure appropriate action is being taken. You will work closely with the Sr Manager of First Line Risk and other risk Officers to organize and initiate investigations into control failures and related issues. In this role you will support change control efforts by assessing and documenting when applicable. Additionally, you should maintain up to date knowledge of regulatory, statutory, and legislative requirements for risk management and controls to ensure compliance with all applicable requirements. Most importantly, at Citizens we’re more than a bank and here you’ll experience new things, create new opportunities, think beyond your role and make an impact!

Primary responsibilities include

As a Compliance team member, working within the Citizens Compliance function, will be responsible for:

• Reviewing and approval of all broker dealer marketing and advertising materials submitted for use by the retail sales team. 
• Working with registered representatives and sales management to resolve issues related to submissions, maintaining log(s) of materials submitted, and providing information to internal risk and outside regulators as requested. 
• Reviewing new and proposed regulations (SEC, FINRA, State) to determine applicability to the broker dealer based on a thorough understanding of the Firm’s current business model. 
• Preparation of monthly and quarterly reports utilizing Excel and PowerPoint 

Qualifications:

• 5 years experience reading and interpreting regulations, laws, and statutes. 
• Thorough understanding of the rules, regulations, and legal requirements of the SEC, FINRA and general state securities and insurance regulatory requirements pertaining to marketing and advertising in a retail broker/dealer environment.
• Knowledge of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency.
• Able to support, present to and appropriately interact with all levels of Management.
• Excellent relationship building and partnership skills.
• Strong communication, collaboration, and technical compliance skills.  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.
• Strong research skills preferred

 Education/Licenses:

• Bachelor’s degree required
•  FINRA Series 7, FINRA Series 63, FINRA Series 24 required.

Hours & Work Schedule: must be able to work out of the Westwood MA office 3 days aweek.

• Hours per Week: 40
• Work Schedule: Monday through 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

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.