Ethics & Compliance Lead, Control Room

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

Benefits offered by this job

Medical, dental and vision coverage

Retirement benefits

Education reimbursement

Wellness programs

Flexible work arrangements

Job summary

Citizens is seeking an experienced Conduct and Ethics Manager to partner with the Conduct and Ethics Senior Manager, Control Room team, and CFG business partners to monitor regulatory compliance and manage risks across the organization.

The role encompasses governance, policy maintenance, training delivery, and proactive regulatory analysis to support strategic initiatives and ensure adherence to laws and standards.

Qualifications

• Ability to understand and apply regulations applicable to the Control Room function, including, but not limited to SEC 10b(5)-1, Rule 138/139, FINRA rules.
• Interface with IT to investigate issues, discuss enhancements to existing systems, and development of new systems.
• Strong analytical and problem solving skills with the ability to exercise sound and balanced judgement.
• 5+ years of experience in Control Room or equivalent financial services industry experience.
• Series 7; or Series 24; or strong understanding of financial markets.

Responsibilities

• Escalate and manage Control Room related issues, including conflicts of interest and information barriers.
• Maintain and implement Control Room Policies and Procedures.
• Coordinate and deliver training on conflicts of interest; handling of Material Non-Public Information; Personal Securities Transactions.
• Provide regulatory analysis and advice for organization change initiatives.
• Work with businesses to provide timely regulatory advice and ensure compliance.

Skills

Regulatory knowledge

IT liaison

Analytical thinking

Communication skills

Time management

Control Room experience

Series 7 or Series 24

Microsoft Office

FIS ECM knowledge

Compliance advisory

Conflict resolution

Strategic thinking

Decisiveness

Tools

FIS ECM

Microsoft Office

Job description

Citizens is seeking an experienced Conduct and Ethics Manager to partner with the Conduct and Ethics Senior Manager, Control Room team, and CFG business partners to monitor regulatory compliance and manage risks across the organization.

The role encompasses governance, policy maintenance, training delivery, and proactive regulatory analysis to support strategic initiatives and ensure adherence to laws and standards.