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As a part of our team, you're made ready for a fulfilling career with exciting new challenges and opportunities to stretch yourself! The Branch Inspections Team is a part of the Citizens Wealth Management Compliance department and is responsible for conducting on-site examinations of Citizens branch offices and providing compliance subject matter expert support for other first line functions. The Branch Inspections Officer is an individual contributor reporting to the Manager of the Branch Inspections Team. The Branch Inspections Officer will be responsible for inspecting and evaluating branch activities to assess and/or monitor compliance with applicable regulations. The inspections include the review of various supervisory systems and reports and conducting interviews of registered personnel to ensure adherence with firm policies, as well as state, FINRA and SEC regulations. The Branch Inspections Officer is responsible for providing detailed documentation of all testing activities and preparing final inspection reports for remittance to the appropriate parties. The individual must be able to balance multiple, time-sensitive tasks, collaborate with business lines to define and implement risk and remediation activities, and track events to ensure appropriate action is being taken. A growth mindset, strong writing skills and a willingness to learn will be essential for success in this role.
Primary responsibilities include:
Qualifications:
Travel to Branch offices 30% - MA, RI, NH, CT, VT, NY, PA, DE, NJ, DC, MD, VA, OH, MI, FL, TX, CA
Education/Certifications:
Hours & Work Schedule: 1 day a week in office unless traveling.
About Us
Equal Employment Opportunity
At Citizens we value diversity, equity and inclusion, and treat everyone with respect and professionalism. 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.
Privacy Policy
As a part of our team, you're made ready for a fulfilling career with exciting new challenges and opportunities to stretch yourself! The Branch Inspections Team is a part of the Citizens Wealth Management Compliance department and is responsible for conducting on-site examinations of Citizens branch offices and providing compliance subject matter expert support for other first line functions. The Branch Inspections Officer is an individual contributor reporting to the Manager of the Branch Inspections Team. The Branch Inspections Officer will be responsible for inspecting and evaluating branch activities to assess and/or monitor compliance with applicable regulations. The inspections include the review of various supervisory systems and reports and conducting interviews of registered personnel to ensure adherence with firm policies, as well as state, FINRA and SEC regulations. The Branch Inspections Officer is responsible for providing detailed documentation of all testing activities and preparing final inspection reports for remittance to the appropriate parties. The individual must be able to balance multiple, time-sensitive tasks, collaborate with business lines to define and implement risk and remediation activities, and track events to ensure appropriate action is being taken. A growth mindset, strong writing skills and a willingness to learn will be essential for success in this role.
Primary responsibilities include:
- Responsible for working within Citizens Securities, Inc.'s Compliance Department to ensure that the Inspection Program (Program) appropriately addresses the regulatory risks relative to the Division/Unit's business activities.
- Perform field inspections of Financial Advisors, Offices of Supervisory Jurisdiction, registered Bank personnel and Back Office Departments, and ensure timely reporting, responses and remediation of risk issues identified to Compliance and Business management.
Qualifications:
- 3+ years of broker dealer compliance/investment advisory experience
- Experience reading and interpreting regulations, laws, and statutes.
- Experience working within a large, complex financial services organization.
- Strong understanding of examination principles and practices for the securities industry
- Strong understanding of the rules, regulations and legal requirements of the SEC, FINRA and general state securities and insurance commissions
- Knowledge of operational matters within a Retail B-D and Registered Investment Advisor
- Strong working knowledge of the compliance risks associated with a banking institution as well as experience working in and/or building effective compliance programs.
- 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.
Travel to Branch offices 30% - MA, RI, NH, CT, VT, NY, PA, DE, NJ, DC, MD, VA, OH, MI, FL, TX, CA
Education/Certifications:
- Bachelor's degree required - in Finance, Business or related discipline preferred.
- FINRA Series 7 and 24 required.
Hours & Work Schedule: 1 day a week in office unless traveling.
- Hours per Week: 40
- Work Schedule: Monday-Friday
About Us
Equal Employment Opportunity
At Citizens we value diversity, equity and inclusion, and treat everyone with respect and professionalism. 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.
Privacy Policy
