Compliance Officer I

Citizens Bank Canton, MA 02021

About the Job

Description

The Compliance Officer I - Generalist will support all aspects of compliance activities reporting to the Retail Sr. Compliance Manager.

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

The Compliance Officer I - Generalist 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. 

The Compliance Officer I - Generalist 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 critical.

Additionally, the Compliance Officer I - Generalist must maintain strong working knowledge of products and regulations and remain current with all applicable industry rules and regulations.

Qualifications

Required Skills/Experience
5 years of compliance related experience in a retail broker dealer
Preferred Skills/Experience:
     Experience researching customer complaints    
     Experience responding to regulatory bodies
Education, Certifications and/or Other Professional Credentials:
Bachelor’s Degree
FINRA Series 7
FINRA Series24
FINRA Series63
FINRA Series 65 or 66
Hours & Work Schedule
Hours per Week: 40 
Work Schedule:  8:30 - 5:00
Why Work with 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 Bank and Citizens Securities, Inc. 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/Veteran

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