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Citizens Bank First Line Risk Manager in Westwood, Massachusetts

Description

The First Line Risk Manager will support all aspects of compliance activities reporting to the Sr. Compliance Manager. I s the independent compliance partner who will be responsible for working with a specific Citizens Division/Unit to ensure that the Business Compliance Program (Program) appropriately addresses the regulatory risks relative to the Division/Unit’s business activities.

As a Compliance team member, working within the Citizens Compliance function, will be responsible for:

  • Reviewing and approval of all broker dealer marketing and advertising materials submitted for use by the retail sales team.

  • Working with registered representatives and sales management to resolve issues related to submissions, maintaining log(s) of materials submitted, and providing information to internal risk and outside regulators as requested.

  • Reviewing new and proposed regulations (SEC, FINRA, State) to determine applicability to the broker dealer based on a through understanding of the Firm’s current business model.

  • Preparation of monthly and quarterly reports utilizing Excel and PowerPoint

Qualifications

  • Experience reading and interpreting regulations, laws, and statutes.

  • Thorough understanding of the rules, regulations and legal requirements of the SEC, FINRA and general state securities and insurance regulatory requirements pertaining to marketing and advertising in a retail broker/dealer environment.

  • Knowledge of 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.

  • Strong research skills preferred.

Education:

  • Bachelor’s degree required

  • FINRA Series 7, 24 and 63 or 65 licenses required.

    Hours and Work Schedule:

    Hours per week: 40

    Monday through Friday 8:30 – 5:00

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

Citizens, its parent, subsidiaries, and related companies provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability or perceived disability, ethnicity, gender, gender identity or expression, 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/Disabled/Veteran

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

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