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Compliance Team Lead

2 months ago

Johnston, United States Citizens Full time
Job Summary

We are seeking a highly skilled and experienced Compliance Team Lead to join our Wealth Management team. As a key member of our compliance team, you will be responsible for ensuring that all marketing materials comply with relevant regulations, including the SEC Marketing Rule.

Key Responsibilities
  • Develop and implement strategies to minimize the risk of noncompliance and ensure that all marketing materials comply with relevant regulations.
  • Perform ongoing reviews of compliance programs to ensure proper operations of policies and processes.
  • Assure that issues that arise through compliance monitoring are promptly addressed and reviewed, and inform all necessary parties of issues and implement solutions based on recommendations.
  • Anticipate any issues that may arise in the future and prepare appropriate deliverables.
  • Conduct proper documentation of all compliance issues.
  • Maintain a thorough understanding of new and proposed regulations (SEC, FINRA, OCC, State) to determine applicability to the broker dealer based on a thorough understanding of the Firm's current business model.
Requirements
  • 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.
Education/Series
  • Bachelor's degree Required.
  • Series 7 & 24 required.
Work Schedule

M-F 8:00-5:00

Pay Transparency

The salary range for this position is $128,000-$145,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the work location, and relevant skills and experience.

We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more.

Note, Citizens' paid time off policy exceeds the mandatory, paid sick or paid time-away policy of very local and state jurisdiction in the United States.

For an overview of our benefits, visit

#LI-Citizens2

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.