Citizens Financial Group, Inc

Compliance Manager

Citizens Financial Group, Inc$90K — $120K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • FINRA Series 7 and 24 certifications required.
  • 7+ years of experience in broker dealer/investment advisor compliance.
  • In-depth knowledge of SEC, FINRA, and state security regulations.
  • Familiarity with operational matters in Retail B-D and Registered Investment Advisors.
  • Experience in a large financial services organization is essential.
  • Strong understanding of compliance risks within banking institutions and ability to develop compliance programs.
  • Proficient in interpreting regulations and legal documents.
  • Bachelor's degree in Finance, Business, or related fields preferred.

Responsibilities

  • Design and implement internal controls to mitigate compliance risk.
  • Review electronic and manual surveillance reports for compliance issues.
  • Identify and investigate liability practices and communicate findings.
  • Collaborate with Compliance, Sales Management, and Registered Representatives to address risks.
  • Participate in team reviews to spot behavioral trends leading to violations.
  • Maintain a repository of compliance reports and remedial actions from surveillance efforts.

Benefits

  • Comprehensive medical, dental, and vision coverage.
  • Retirement benefits and educational reimbursement.
  • Generous maternity/paternity leave policies.
  • Flexible work arrangements available.
  • Robust wellness programs and paid time off exceeding local regulations.
Full Job Description
Job Description

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

Qualifications, Education, Certifications and/or Other Professional Credentials
  • 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
  • Bachelor's Degree in Finance, Business or related discipline preferred
  • 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

Hours & Work Schedule
  • Hours per Week: 40
  • Work Schedule: M-F

Pay Transparency
  • The salary range for this position is $x - $y per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the work location, and relevant skills and experience.
  • We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens' paid time off policy exceeds the mandatory, paid sick or paid time-away policy of every local and state jurisdiction in the United States. For an overview of our benefits, visit https://jobs.citizensbank.com/benefits.


About Citizens Financial Group, Inc

Citizens Bank is a financial service company. It provides outstanding local and personalized service. It offers a full range of commercial, real estate, and consumer lending. It is specialized in personal and small business deposit services, electronic services.

Citizens Financial Group, Inc. Careers

Join the dynamic team at Citizens Financial Group, Inc., a leading financial institution where your career aspirations can soar. We are committed to fostering a culture of innovation, leadership, and diversity that supports our employees' professional growth and development.

Explore Job Opportunities

At Citizens Financial Group, Inc., we offer a wide range of job opportunities that cater to diverse skill sets and career interests. Whether you're a seasoned professional or just starting out, you'll find a position that challenges you and enhances your expertise.

Internship Programs

Kickstart your career with our internship programs designed to give you a hands-on experience in the financial sector. Our internships provide a robust platform to develop your skills, engage in meaningful projects, and network with industry leaders.

Employment Benefits

Choosing a career with Citizens Financial Group, Inc. means opting for a comprehensive package of benefits. We believe in supporting our team members not only in their professional lives but also in their personal growth and well-being.

Inclusive Culture and Diversity Training

We pride ourselves on a workplace culture that embraces diversity and inclusivity. Regular diversity training ensures that our team members appreciate and leverage the unique backgrounds and perspectives that each individual brings to the company.

Professional Growth and Leadership Development

Continuous learning is at the core of our professional development agenda. With access to leadership development programs and tailored training, you can advance your career and leadership skills at Citizens Financial Group, Inc.

Innovation at Work

Innovation is key to staying competitive in the financial industry. At Citizens Financial Group, Inc., you’ll work alongside talented professionals who are pushing the boundaries of what’s possible in financial services.

Networking and Career Advancement

Our company not only provides job opportunities but also fosters an environment where networking and professional connections flourish. This supportive network is vital for career advancement and personal growth within the industry.

Join Our Team

Are you ready to take the next step in your career? Explore the open positions at Citizens Financial Group, Inc. and find where your skills and passions align with our needs. We are continuously hiring and looking for new talents to join our robust team.

Stay Connected

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Prepare for Your Interview

Make a great first impression. Prepare for your interview with us by researching our company culture, reviewing your resume, and coming ready to discuss how your experience and skills align with the position you are applying for. At Citizens Financial Group, Inc., we are more than just a financial institution; we are a place where you can make a difference. Join us and transform your career with a company that values your unique talents and aspirations.
Learn more about Citizens Financial Group, Inc
Size
17,463 employees
Market Cap
$19.3 billion
Industry
Net Income
$1 billion
Founded
1828
5 Year Trend
+2.6%
NASDAQ

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