The Compliance Manager will support all aspects of compliance activities reporting to the Sr. Compliance Manager. This individual will be the independent compliance partner who will be responsible for working within the Citizens Marketing Department to advice and counsel on applicable SEC, FINRA, MSRB and state securities regulations applicable to any and all marketing/advertising materials which involve any affiliated broker dealer/RIA. The individual must possess an expert level knowledge of all applicable rules/regulations related to broker dealer/RIA marketing and advertising activities. Most importantly the SEC advertising rule.

As a Compliance team member, working within the Citizens Compliance function, will be responsible for:

• Working on marketing/advertising concepts from genesis to advise on applicability of relevant rules/regulations.
• Maintain “seat at the table” with CFG marketing/advertising department throughout the development of marketing/advertising materials which involve the broker dealer/RIA to ensure that the final product is complete and includes all applicable disclosures.
• Provide approval of broker dealer/RIA marketing and advertising materials in the broker dealer/RIA recordkeeping system.
• Maintaining up to date understanding of new and proposed regulations (SEC, FINRA, State) to determine applicability to the broker dealer based on a thorough understanding of the Firm’s current business model.
• Preparation of monthly and quarterly reports utilizing Excel and PowerPoint.

Qualifications:

• Minimum of 5 years of broker dealer compliance experience with at least 2 years of experience reviewing/approving broker dealer marketing materials.
• Experience reading and interpreting regulations, laws, and statutes.
• Thorough understanding of the rules, regulations, and legal requirements of the SEC, FINRA and general state securities and insurance regulatory requirements pertaining to marketing and advertising in a retail broker/dealer environment.
• Knowledge of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency.
• Able to support, present to and appropriately interact with all levels of Management.
• Excellent relationship building and partnership skills.
• Strong communication, collaboration, and technical compliance skills. Should be able to work effectively with others at all levels across the organization and provide authoritative guidance to management and staff within the organization.
• Strong research skills required.

Education/Series:

• Bachelors Degree Required
• FINRA Series7, FINRA Series 63 and FINRA Series 24 all Required

Hours & Work Schedule Hybrid 3 days in the Westwood MA office, 2 remote:

• Hours per Week: 40
• Work Schedule: M-F 9 - 5