Compliance Team Lead - Advertising & Marketing - Citizens

Description


We are seeking a highly skilled and experienced Wealth Management Marketing Professional with expertise in the SEC Marketing Rule. The ideal candidate will develop, implement, and manage marketing content and strategies that comply with applicable regulatory requirements, effectively promoting our Wealth Management services while ensuring adherence to SEC, FINRA and OCC regulations.



At Citizens, we’re more than a bank and here you’ll experience new things, create new opportunities, think beyond your role, and make an impact! As the Compliance Team Lead- Advertising & Marketing, you will play an integral role in the strategy and implementation of Compliance management throughout Wealth Management. While in this role, you will lead a team to mitigate risk and assure that Citizen’s businesses are following all applicable laws, regulations, and policies. You will be a lead in the strategy, design, implementation, and enhancement of internal control to mitigate risk daily. Through a team, you will create solutions on compliance issues and escalate to the Compliance Director where appropriate. Additionally, you will work with other compliance officers to determine business needs, strategize, and develop standards and procedures to assure businesses are complying. You will also review resources that relate to current and proposed laws, and regulations that impact Citizen's compliance requirements and implement any changes in a timely manner. Most importantly, as a part of our team, you’re made ready for a fulfilling career with exciting new challenges and opportunities to stretch yourself!



This individual will be the compliance partner who will be responsible for working within the Citizens Marketing Department to advise 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 Marketing Rule.



Primary responsibilities include.





+ Ensure that all marketing materials comply with all relevant regulations (e.g., the SEC Marketing Rule, FINRA)



+ Develop and implement strategies that are necessary to minimize the risk of noncompliance and support team in assistance with implementation through effective communication and project management. Perform ongoing reviews of compliance programs to assure proper operations of policies and processes.



+ Assure that issues that arise through compliance monitoring are promptly addressed and reviewed; inform all necessary parties of issues and implement solutions based on recommendations.



+ Anticipate any issues that may arise in the future and prepare appropriate deliverables.



+ Conduct proper documentation of all compliance issues.



+ 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 Wealth Management 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, OCC, State) to determine applicability to the broker dealer based on a thorough understanding of the Firm’s current business model.





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:





+ Bachelor’s degree Required.



+ Series 7 & 24 required





Hours & Work Schedule



Hours per Week: 40



Work Schedule: M-F 8:00-5:00







Pay Transparency



The salary range for this position is $128,000-$145,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the work location, and relevant skills and experience.



We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens’ paid time off policy exceeds the mandatory, paid sick or paid time-away policy of very local and state jurisdiction in the United States. For an overview of our benefits, visit https://jobs.citizensbank.com/benefits.







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Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.



Equal Employment Opportunity


At Citizens, we are committed to fostering an inclusive culture that enables colleagues to bring their best selves to work every day. Employment decisions are based solely on experience, performance, and ability. Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws.


Equal Employment and Opportunity Employer


Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.


Why Work for 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







Background Check



Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.

10/31/2024