Compliance Manager

Citizens Financial Group•Johnston, RI

About The Position

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. The Compliance Manager will be responsible for enforcing the procedures and processes of the Wealth Management 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.

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

Nice To Haves

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

Responsibilities

Design, implement, maintain, and enhance internal controls to mitigate risk on a daily basis.
Identify, measure, and escalate compliance issues to the Compliance Sr Manager where appropriate.
Work with other Compliance Officers to identify business needs, strategize, and develop standards and procedures to assure Citizens businesses are in compliance.
Identify process improvement and opportunities for control enhancement.
Enforce the procedures and processes of the Wealth Management Surveillance and Monitoring program.
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.