Senior Conduct & Ethics Compliance Lead

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

Job summary

Citizens is seeking a Conduct and Ethics Manager to partner with the Senior Manager and Control Room teams to monitor regulatory compliance, manage policy implementation, and provide timely regulatory guidance across CFG. The role spans governance, risk management, and training across business lines and control functions.

The ideal candidate will have extensive financial services compliance experience, strong analytics, and excellent communication to influence across multiple levels of the

Qualifications

• Ability to understand and apply regulations applicable to the Control Room function (SEC 10b(5)-1, Rule 138/139, FINRA).
• Interface with IT to investigate technical issues and develop system enhancements.
• Strong analytical and problem solving skills with disciplined judgement.
• Self-starter with professional and detail-oriented demeanor.
• Excellent written and oral communication, with ability to diffuse volatile situations.
• Ability to manage multiple deadline-driven tasks in a fast-paced environment.

Responsibilities

• Support governance across the Control Room and ensure ongoing maturity of the program.
• Represent the Control Room in governance meetings as appropriate.
• Provide regulatory analysis and advice on changes, new products, and processes.
• Escalate and manage Control Room related issues (conflicts of interest, information barriers, trades).
• Maintain and implement Control Room Policies and Procedures.
• Deliver training on conflicts of interest, information barriers, and personal securities.

Skills

Regulatory understanding

IT liaison

Analytical thinking

Self-motivation

Communication skills

Time management

Compliance advisory

Influencing

Conflict resolution

Strategic thinking

Creative problem solving

Decisiveness

Tools

FIS ECM

MS Office

FINRA licenses

Job description

Citizens is seeking a Conduct and Ethics Manager to partner with the Senior Manager and Control Room teams to monitor regulatory compliance, manage policy implementation, and provide timely regulatory guidance across CFG. The role spans governance, risk management, and training across business lines and control functions.

The ideal candidate will have extensive financial services compliance experience, strong analytics, and excellent communication to influence across multiple levels of the