Our Ability Jobs

Description

In this role at Citizens, you’re made ready for a fulfilling career with exciting new challenges and opportunities to stretch yourself. The Compliance Associate is responsible for working within Citizens Securities, Inc.’s Compliance Department to conduct trade surveillance, suitability verification, issue tracing and closure, and trend analysis of its registered representatives (“RRS”) and Associated Persons (“APs”). The Surveillance and Monitoring team conducts ongoing surveillance to address alerts and identify and investigate possible rule violations by Registered Representatives.

Will be responsible for enforcing the procedures and processes of the CSI Surveillance and Monitoring program by performing the following activities:

Primary responsibilities include

• Perform daily and weekly processes to ensure proper retention and supervision of the electronic communications of Wealth Management colleagues per regulatory requirements.

• Perform weekly hierarchy update and transmission to allow for proper supervision of registered representative trade activity according to the established supervisory structure within the firm’s trade surveillance solution.

• Conduct daily review of employee communications via approved business channels, including email, Microsoft Teams, LinkedIn, and text messages to ensure and enforce compliance with firm policies and regulatory requirements.

• Partner with internal business partners and third-party vendors on various business initiatives to ensure recordkeeping and supervision requirements are met .

• Continuously refine processes and procedures to capture changes in the regulatory environment.

• Provide support in all aspects of administration and maintenance of the firm’s electronic communication recordkeeping/supervision solutions. .

Qualifications:

• 5+ 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.

Education, Licenses:

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

• FINRA Series 7, 24 required.

Hours & Work Schedule: Hybrid - 3 days in the office/2 remote

• Hours per Week: 40

• Work Schedule: Monday-Friday

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Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.

Equal Employment Opportunity

At Citizens we value diversity, equity and inclusion, and treat everyone with respect and professionalism. Employment decisions are based solely on experience, performance, and ability. Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws.

Equal Employment and Opportunity Employer

Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.

Why Work for Us

At Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth

Background Check

Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.