Wealth Management Compliance Surveillance Manager

Description

In this role at Citizens, you’re made ready for a fulfilling career with exciting new challenges and opportunities to stretch yourself. The Compliance Manager is responsible for working within Citizens Securities, Inc.’s Compliance Department to conduct trade surveillance, suitability verification, issue tracing and closure, and trend analysis of its registered representatives (“RRS”) and Associated Persons (“APs”).  The Surveillance and Monitoring team conducts ongoing surveillance to address alerts and identify and investigate possible rule violations by Registered Representatives.

Will be responsible for enforcing the procedures and processes of the CSI 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: 

• 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.
• 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.

Education, Certifications and/or Other Professional Credentials

• Bachelor’s Degree required: in Finance, Business or related discipline preferred.
• FINRA Series 7, 24 required

Hours & Work Schedule: 3 days in the Westwood, MA Office

• Hours per Week: 40
• Work Schedule: 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

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.