Compliance Officer I

Company: Citizens Financial Group, Inc.
Location: Westwood
Posted on: June 12, 2021

Job Description:

Description

The Compliance Officer I - Generalist will support all aspects of compliance activities reporting to the Retail Sr. Compliance Manager.

The activities in scope include, but are not limited to:

• Customer Complaint Management
• Advertising and Marketing Compliance Review and Oversight
• Policy and Procedure Development and Advice
• Regulatory Examination and Inquiry Support and Tracking
• Quality Control Reviews
• Board, Committee, and Management Report Development
• Will also provide consultative support and advice to business line management regarding complex compliance and business concerns. The Compliance Officer I- Generalist will identify, assess, implement and communicate regulatory issuances and when necessary, update policies and procedures for adequacy and accuracy.
• Will support the preparation for and the ongoing management of all regulatory compliance examinations for FINRA, the SEC and any State Regulatory Agency for broker dealer, investment advisor, and/or insurance products and firm activities. The candidate may also support regulatory inquiries from State and Federal regulators. Timeliness and coordination of competing priorities is critical.
• Generalist must maintain strong working knowledge of products and regulations and remain current with all applicable industry rules and regulations.

Qualifications

• 5 years' experience with compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency.
• Able to support, present to and appropriately interact with all levels of Management.
• Excellent relationship building and partnership skills.
• Strong communication, collaboration, and technical compliance skills. 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.
• Experience reading and interpreting regulations, laws, and statutes.
• Strong research skills preferred.
• Prior experience working with regulatory agencies, including FINRA, SEC or State agencies, within a large financial institution preferred.
• Problem solving skills as well as flexibility and adaptability are of key importance

Education/Certifications:

• BA preferred
• FINRA Series 7 - required
• FINRA 65 or 66 - required
• FINRA Series 24 (May be obtained within 1 year of hire)

Hours and Work Schedule

Hours per Week: 40

Work Schedule: Monday-Friday

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.

Equal Employment Opportunity

It is the policy of Citizens to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, colleague or a dependent's reproductive health decision making, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, genetic characteristic, citizenship, veteran or military status, marital or domestic partner status, family status/parenthood, victim of domestic violence, or any other category protected by federal, state and/or local laws.

Equal Employment and Opportunity Employer/Disabled/Veteran

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

Keywords: Citizens Financial Group, Inc., Boston , Compliance Officer I, Other , Westwood, Massachusetts