Compliance Officer I
Company: Citizens Financial Group, Inc.
Posted on: June 12, 2021
The Compliance Officer I - Generalist will support all aspects
of compliance activities reporting to the Retail Sr. Compliance
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
- Generalist must maintain strong working knowledge of products
and regulations and remain current with all applicable industry
rules and regulations.
- 5 years' experience with compliance related matters within the
Retail Broker Dealer and Registered Investment Advisor and
- 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
- Strong research skills preferred.
- Prior experience working with regulatory agencies, including
FINRA, SEC or State agencies, within a large financial institution
- Problem solving skills as well as flexibility and adaptability
are of key importance
- 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
Equal Employment and Opportunity Employer/Disabled/Veteran
Citizens is a brand name of Citizens Bank, N.A. and each of its
Keywords: Citizens Financial Group, Inc., Boston , Compliance Officer I, Other , Westwood, Massachusetts
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