Conduct and Ethics Manager

Citizens Bank
United States
Workplace: OnsiteFull timeUSD 97,000 - 129,000 annuallyFunction: Legal, Risk & ComplianceExperience: 5+ yearsEducation: bachelorsSkills: ["Analysis","Problem-solving","Sound judgment","Communication","Interpersonal skills","Conflict resolution","Influencing"]

Monitor and manage regulatory risk for the Control Room by supporting an effective compliance risk management program across CFG business lines and legal entities. Execute day-to-day conflict management, personal securities transactions surveillance, trade surveillance, and information barrier advisory, while maintaining Control Room policies and procedures. Provide regulatory analysis and advice for organizational change initiatives, support governance meetings, coordinate training, and escalate potential violations. Reports to the Conduct and Ethics Senior Manager.

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FursaFursa
Citizens Bank
Citizens Bank
1 month ago

Conduct and Ethics Manager

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Source: Company careers pageValidated by: Fursa AI
Last checked: 7 hours agoStatus: Live

Job Summary

Monitor and manage regulatory risk for the Control Room by supporting an effective compliance risk management program across CFG business lines and legal entities. Execute day-to-day conflict management, personal securities transactions surveillance, trade surveillance, and information barrier advisory, while maintaining Control Room policies and procedures. Provide regulatory analysis and advice for organizational change initiatives, support governance meetings, coordinate training, and escalate potential violations. Reports to the Conduct and Ethics Senior Manager.
Location: United States
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Manager level

Key Responsibilities

  • •Work day-to-day with the Conduct and Ethics Director and Control Room team to monitor compliance with regulations and Control Room policies to manage regulatory risks.
  • •Support the Compliance Risk Management Program for CFG, including governance structure maintenance and representing the Control Room in governance meetings.
  • •Execute and escalate Control Room issues, including conflict clearance and escalation, information barrier advisory, personal securities transactions, and trade surveillance.
  • •Maintain and implement Control Room policies and procedures and coordinate/deliver relevant training on conflicts of interest, MNPI handling, and personal securities transactions.
  • •Provide regulatory analysis and advice for organizational change initiatives, identify/escalate potential violations (e.g., market abuse, information barrier issues), and support investigations.

Pay and Benefits

Salary: USD 97,000 - 129,000 annually
Perks:Health InsuranceDentalVisionRetirement Benefits

Key Requirements

  • •Ability to understand and apply regulations applicable to the Control Room function, including SEC 10b(5)-1, Rule 138/139, and FINRA rules.
  • •5+ years of experience in Control Room or equivalent financial services industry experience.
  • •Strong analytical and problem-solving skills with the ability to exercise sound, balanced judgment.
  • •Excellent communication (written and oral) and interpersonal skills, including diffusing potentially volatile situations.
  • •Series 7 and/or Series 24, or a strong understanding of financial markets.
Experience:5+ yearsFinancial services
Education:Bachelor's
Skills:AnalysisProblem-solvingSound judgmentCommunicationInterpersonal skillsConflict resolutionInfluencing
Certifications:Series 7Series 24
Tech Stack:SEC 10b(5)-1FINRAMicrosoft OfficeFIS ECM

Company Brief

Citizens Bank
Regional bank offering retail and commercial banking, mortgage lending, wealth management, and payment services to individuals and businesses across the United States.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Providence, United States
Founded: 1828
Website