Compliance Manager - Marketing

Description

The Compliance Manager will support all aspects of compliance activities reporting to the Sr. Compliance Manager. This individual will be the independent compliance partner who will be responsible for working within the Citizens Marketing Department to advice and counsel on applicable SEC, FINRA, MSRB and state securities regulations applicable to any and all marketing/advertising materials which involve any affiliated broker dealer/RIA. The individual must possess an expert level knowledge of all applicable rules/regulations related to broker dealer/RIA marketing and advertising activities. Most importantly the SEC advertising rule.

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

• Working on marketing/advertising concepts from genesis to advise on applicability of relevant rules/regulations.

• Maintain "seat at the table" with CFG marketing/advertising department throughout the development of marketing/advertising materials which involve the broker dealer/RIA to ensure that the final product is complete and includes all applicable disclosures.

• Provide approval of broker dealer/RIA marketing and advertising materials in the broker dealer/RIA recordkeeping system.

• Maintaining up to date understanding of new and proposed regulations (SEC, FINRA, State) to determine applicability to the broker dealer based on a thorough understanding of the Firm's current business model.

• Preparation of monthly and quarterly reports utilizing Excel and PowerPoint.

Qualifications

• Minimum of 5 years of broker dealer compliance experience with at least 2 years of experience reviewing/approving broker dealer marketing materials.

• 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 required.

Education/Series:

• Bachelors Degree Required

• FINRA Series7, FINRA Series 63 and FINRA Series 24 all Required

Hours & Work Schedule Hybrid 3 days in the Westwood MA office, 2 remote:

• Hours per Week: 40

• Work Schedule: M-F 9 - 5

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.