Broker Dealer Marketing and Advertising Compliance Officer

As the First Line Risk Manager, you will represent the first line of defense and play a key role in identifying, managing, and mitigating the risk and compliance control environment. Additionally, you should maintain up to date... knowledge of regulatory, statutory, and legislative requirements for risk management and controls to ensure compliance with all applicable requirements. Most importantly, 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 a Compliance team member, working within the Citizens Compliance function, will be responsible for: • Reviewing and approval of all broker dealer marketing and advertising materials submitted for use by the retail sales team. • Reviewing 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.