Conduct & Ethics Lead: Compliance Partner, Flexible Work

Citizens; Medford (MA); On-site; USD 97,000 - 129,000; Full time

Benefits offered by this job

Competitive pay

Comprehensive benefits package

Flexible work arrangements

Job summary

Citizens is seeking a Conduct and Ethics Manager to serve as an independent compliance partner. You will work day-to-day with the Conduct and Ethics Director, the Control Room team, and CFG partners to monitor regulations and manage regulatory risks across the organization.

STRATEGIC PROCESS includes governance, training, and policy development to support a mature Control Room program. The role requires strong advisory skills and collaboration with business lines across CFG to ensure compliance

Qualifications

• Understand and apply regulations for Control Room functions including SEC 10b(5)-1, Rule 138/139 and FINRA rules.
• Ability to interface with IT to investigate issues and develop system enhancements.
• Strong analytical and problem solving skills with sound judgement.
• A proactive self-starter with professional demeanor and attention to detail.
• Excellent written and verbal communication and interpersonal skills.
• Ability to manage multiple deadline-driven tasks in a fast-paced environment.
• 5+ years in Control Room or equivalent financial services experience.
• Series 7/24 licenses or strong market knowledge are preferred.
• Proficient knowledge of MS Office and related tools.
• Experience providing compliance advisory support across business areas.

Responsibilities

• Act as independent compliance partner with CFG, reporting to Conduct and Ethics Senior Manager.
• Monitor regulatory risks and ensure governance across the Control Room.
• Provide regulatory analysis and advice on organizational changes and new products.
• Escalate and manage violations or potential issues; maintain policies and procedures.
• Deliver relevant training on conflicts of interest, information barriers and securities transactions.
• Build and maintain strong cross-functional partnerships with business lines.
• Communicate complex concepts clearly to diverse audiences.

Skills

Regulatory compliance

Strategic thinking

Communication skills

Risk management

Leadership

Problem solving

Decision making

Self-starter

Interpersonal skills

Education

Series 7 license

Series 24 license

Tools

FIS ECM platform

Microsoft Office

Job description

Citizens is seeking a Conduct and Ethics Manager to serve as an independent compliance partner. You will work day-to-day with the Conduct and Ethics Director, the Control Room team, and CFG partners to monitor regulations and manage regulatory risks across the organization.

STRATEGIC PROCESS includes governance, training, and policy development to support a mature Control Room program. The role requires strong advisory skills and collaboration with business lines across CFG to ensure compliance