Conduct and Ethics Manager

Citizens Financial Group•Medford, MA

1d•Hybrid

About The Position

The Conduct and Ethics Manager is an independent compliance partner responsible for working day-to-day with the Conduct and Ethics Director, the Control Room team, and CFG business partners at all levels of the organization. This role monitors compliance with regulations and Control Room policies to manage regulatory risks, including Conflict Management, Personal Securities Transactions Surveillance, and Preclearance Trade Reviews. The Conduct and Ethics Manager reports to the Conduct and Ethics Senior Manager.

Requirements

Ability to understand and apply regulations applicable to the Control Room function, including, but not limited to, SEC 10b(5)-1, Rule 138/139, FINRA rules.
Ability to interface with IT to investigate technical issues, discuss enhancements to existing systems, and development of new systems.
Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
A self-starter with a professional and detailed-oriented demeanor.
Excellent communication (written and oral) and interpersonal skills, including ability to diffuse potentially volatile situations.
Ability to manage multiple, deadline-oriented tasks in a fast-paced environment.
5+ years of experience in Control Room or equivalent financial services industry experience.
Series 7; or Series 24; or strong understanding of financial markets.
Proficient working knowledge in Microsoft Office products.
Extensive experience of providing compliance advisory support in financial services environments acting as a compliance function representative to other business areas.
Influencing and conflict resolution skills.
Proven ability to convey complex concepts in a clear and concise manner, to potentially diverse audiences.
Proven ability to think strategically and to translate concepts into effective processes.
Highly developed creative skills to resolve complex problems and/or identify alternatives where established procedures may not exist.
Ability to demonstrate decisiveness and sound judgment on a consistent basis.

Nice To Haves

Working knowledge of FIS ECM platform a plus.

Responsibilities

Support the delivery of an effective and independent Compliance Risk Management Program for CFG, including business lines, support/control functions, and legal entities, aligned with organizational programs, standards, and regulatory expectations.
Support the Conduct and Ethics Senior Manager in maintaining an effective and efficient governance structure across the Control Room and ensuring continuous maturity of the Control Room program.
Represent the Control Room in various governance meetings, where appropriate.
Create value for CFG by providing strong business partnerships, insight, advice, and assurance on the adequacy and effectiveness of CFG’s compliance risk framework, while maintaining appropriate independence.
Day-to-day execution and escalation of Control Room related issues, including Conflict Clearance and Escalation; Information Barrier Advisory; Personal Securities Transactions; Trade Surveillance.
Maintain and implement Control Room Policies and Procedures.
Coordinate and deliver relevant training on topics such as conflicts of interest, handling of Material Non-Public Information, and Personal Securities Transactions.
Promote business partner focus throughout strategy, communications, and engagement, ensuring it is built into Control Room culture and understanding business partner goals.
Provide regulatory analysis and advice in relation to organization change initiatives (e.g., new products, processes).
Work closely with the businesses to provide timely regulatory advice, ensure compliance with laws and regulations, prevent regulatory violations, and escalate failures and shortcomings.
Build and maintain effective partnerships within the business.
Ensure potential and actual violations (e.g., market abuse, information barrier issues) are identified, escalated, and managed.
Promote awareness of applicable regulatory standards, upstream risks, and industry best practices across the business and relevant support areas.
Identify areas where regulatory risk standards can be enhanced and assist in their effective implementation.
Engage in investigations initiated internally or externally by regulators/agencies, as well as HR investigations/disciplinary procedures concerning CFG staff.
Operate within Policy Framework, standards, and processes, ensuring a consistent and quality approach and that Compliance operates efficiently.
Understand the inherent, material risks of the business/organization.
Establish and deploy robust risk and control frameworks for the Control Room, including communication, training, and awareness.
Provide expert support and advice to the business on risk management, interpreting and complying with risk policy standards and the risk management framework.
Provide management with relevant information and reporting and escalate concerns where appropriate.
Be a visible leader, foster a partnership approach to success, and create an environment that empowers and motivates employees.
Engender a culture that puts customers and people at the heart of the business and promotes good risk management.
Ensure deliverables and training modules are completed ahead of the deadline.
Ensure continued development within the organization.