Citizens Bank Senior Compliance Officer in Boston, Massachusetts
Senior Compliance Officer (Commercial & Investment Banking) is the independent compliance partner who is responsible for working with Citizens Capital Markets Commercial & Investment Banking Advisory group to ensure that the Business Compliance Program (Program) appropriately addresses the regulatory risks relative to the Division/Unit’s business activities. As a Compliance team member, working within the Citizens Compliance function, the Compliance Officer will be co-located with the relevant business and actively engaged in the monitoring and oversight of an effective Commercial & Investment Banking Compliance Program. Will collaborate with the Senior Risk Manager and Senior Bank Compliance Officer to foster an open and honest risk management and compliance culture across the Business Division/Unit and ensure timely reporting and escalation of regulatory risk issues to the Directors of Compliance and Business management.Utilizes knowledge of applicable banking laws and securities regulations including specifically: Investment Banking/Underwriting- evaluation and potential participation in equity corporate transactions for public and private (Reg D offerings) companies as well as Fixed Income Offerings.Mergers & Acquisition (M&A) Deals,Corporate Advisory Matters,Institutional/Capital MarketsWorking knowledge of FINRA’s WebCRD system and registration form filingsReview outside business activities and private securities transactionsProvides guidance to partner with and direct Business management, Business Unit Risk Management, Legal and CFG Compliance colleagues in the timely identification, mitigation, resolution and reporting/escalation of existing, emerging and upstream regulatory risks and issues Participates in Business management, risk, new product, and project meetings and provides regulatory risk advice as well as ongoing information about new and changing regulatory developmentsResponsible for reviewing the regulatory risks associated with new Business initiatives, new products & services and process changes, identifying conditions required to comply with applicable laws and regulations, and signing off on the approval processProactively reaches out to Business management, Business Unit Risk Management, Legal, and the larger Risk community to offer support and assistance in compliance-related matters to ensure an open, adequate and effective risk management culture Establishes and cultivates a strong working relationship with the respective Business Unit Risk Management teams to advance the culture and effectiveness of a synchronized approach to risk management in respect of current, new or emerging applicable banking law and regulation as well as internal corporate compliance policy and proceduresEscalation and OversightResearch and Analysis
Qualifications : 10 years of proven ability in the Capital Markets/Investment Banking space in a senior management or compliance capacityFormer regulatory experience (FINRA, SEC) or direct strong investment banking experience preferredPrior experience working with regulatory agencies, including OCC, Federal Reserve, FINRA or SEC, or large financial institution preferred Strong communication, collaboration, and technical compliance skillsShould be able to work effectively with others at all levels across the organization and provide authoritative guidance to management and staff within the organizationExperience working within a large, complex financial service organization Strong working knowledge of the compliance risks associated with an Investment Banking and M&A programs as well broker dealer (FINRA, SEC) experience working in and/or building effective Institutional compliance programsExperience reading and interpreting regulations, laws, and statutes. Specifically, Underwriting & Investment Banking requirementsRegulation D Private OfferingsM&A ServicesBlue Sky LawsAnti-Fraud ProvisionsRule 144Problem solving skills as well as flexibility and adaptability are of key importanceEducation:Bachelors Degree in Finance, Business or related discipline Masters Degree in Business or Finance preferredHours & Work ScheduleHours per Week: 40Work Schedule: Monday - Friday 8-5Why Work with UsAt 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.Equal Employment and Opportunity Employer/Disabled/VeteranIt is the policy of Citizens Bank to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.Equal Opportunity & Affirmative Action Employer Disabled/VeteranCitizens Bank is a brand name of Citizens Bank, N.A. and each of its respective subsidiaries, and Citizens Bank of Pennsylvania.