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Compliance Manager

United States, Johnston Employment contract 97000.00 - 126000.00 USD / Year · Job Posted May 27, 2026
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Job 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.

Job Responsibility

  • 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

Requirements

  • 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
  • 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
  • Bachelor’s Degree in Finance, Business or related discipline preferred

What we offer

  • competitive pay
  • comprehensive medical, dental and vision coverage
  • retirement benefits
  • maternity/paternity leave
  • flexible work arrangements
  • education reimbursement
  • wellness programs

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