Citizens Support Member Jobs
Industry: Private
Employment Type: Full Time
Work Hours: 8
Salary: £35 – £45Hour
Location: United Kingdom
Company: Citizens Financial Group
Description:
Citizens Support Member Jobs
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.
Citizens Support Member Jobs
As a Compliance team member, working within the Citizens Compliance function, will be responsible for:
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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.
Citizens Support Member Jobs
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
Citizens Support Member Jobs
About the Citizens Financial Group Company :
Citizens Financial Group is a notable American bank holding company, headquartered in Providence, Rhode Island. However, it is intricately linked to the United Kingdom through its previous ownership by the Royal Bank of Scotland Group (RBS), now NatWest Group. This connection shaped its development and expansion over the years.
Originally established in 1828 as the High Street Bank in Providence, Citizens Financial Group expanded its footprint significantly under RBS ownership, which began in 1988. RBS utilized Citizens as a strategic vehicle for its U.S. expansion, leading to the acquisition of several regional banks, bolstering Citizens’ presence particularly in the New England, Mid-Atlantic, and Midwest regions.
In 2014, RBS initiated a phased divestiture of Citizens Financial Group, culminating in a complete public offering by 2015. This separation marked a significant shift, as Citizens became an independent entity, no longer under the influence of its UK-based parent company.
Citizens Financial Group now operates as a full-service bank offering a range of financial services, including retail and commercial banking products, mortgage lending, and wealth management. It serves millions of customers through its extensive network of branches and ATMs, as well as its robust digital banking platform.
Despite its autonomy, the legacy of its time under RBS continues to influence Citizens Financial Group’s strategic direction and operational philosophy, blending a traditional American banking approach with elements of British banking heritage. This unique background positions Citizens as a distinct player in the U.S. financial landscape, balancing growth with a deep-rooted commitment to customer service and community engagement.
Citizens Support Member Jobs
Citizens Support Member Jobs – SarkariVaccancy
