Citizens Bank Senior Compliance Manager in Canton, Massachusetts
The Senior Compliance Manager manages the Field Exam process/department required by FINRA for the Citizens Securities, Inc. ("CSI") Compliance Department. The position reports to the CSI Chief Compliance Officer. Responsibilities include:Manage team of six Compliance Officers responsible for executing the Compliance Department's Field Exam Program consisting of FA, RSM, DOS, Department and branch examinations, etc.Work with Chief Compliance Officer to ensure meeting the requirements of FINRA and other securities and insurance regulators and specific compliance with FINRA Rule 3110.Establish exam schedule each year and manage department staff to assure completion by year end.Establish/revise exam program as required based on previous results, FINRA's and the SEC's annual Exam Priorities publications, industry hot topics, complaint data, etc.Supervise the department staff's output of reporting including results requiring follow up.
Required Skills/Experience: 10 + years Significant securities/insurance compliance experience Strong retail brokerage and investment advisory product knowledgeAnalytical/Investigative/Auditing skillsAbility to interact with all levels of managementFINRA Series 7 & 24 registrationsPreferred Skills/Experience: FINRA Field Exam program experienceEducation:Bachelor's DegreeHours & Work ScheduleHours per Week: 40Work Schedule: Monday-Friday 8-5Why Work with UsAt 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 and Opportunity Employer/Disabled/VeteranIt is the policy of Citizens Bank to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.Equal Opportunity & Affirmative Action Employer Disabled/VeteranCitizens Bank is a brand name of Citizens Bank, N.A. and each of its respective subsidiaries, and Citizens Bank of Pennsylvania.