This list contains only the countries for which job offers have been published in the selected language (e.g., in the French version, only job offers written in French are displayed, and in the English version, only those in English).
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