Qureos Mentor

Citizens

<div>Description
Citizens JMP Securities, LLC (CJMP), a subsidiary of Citizens Financial Group, is a FINRA-registered institutional broker-dealer delivering comprehensive services across M&amp;A advisory, investment banking, corporate finance, equity research, and sales and trading.
Position Overview
Citizens JMP is seeking a Senior Compliance Manager to lead and enhance compliance oversight for our Research and Investment Banking functions. This strategic role is responsible for ensuring adherence to regulatory requirements, internal policies, and ethical standards, while serving as a trusted advisor to senior business leaders across the firm.
The ideal candidate will bring deep subject matter expertise, sound judgment, and a proactive approach to managing regulatory risk in a dynamic, fast-paced environment. Success in this role requires a strong client-centric mindset, resilience, and a commitment to continuous learning and operational excellence.
Key Responsibilities
Regulatory Strategy &amp; Oversight<ul><li>
Lead compliance monitoring and advisory efforts related to SEC, FINRA, and global regulations governing Research and Investment Banking activities.</li><li>
Interpret complex regulatory developments and assess their impact on business practices, ensuring timely implementation of required changes.</li></ul>
Conflict Management &amp; Governance<ul><li>
Oversee and enhance frameworks for identifying and managing conflicts of interest between Research and Investment Banking, including adherence to the Global Research Settlement and firm-specific protocols.</li><li>
Serve as a key contributor to governance processes, including escalation and resolution of potential conflicts.</li></ul>
Advisory &amp; Business Partnership<ul><li>
Provide senior-level guidance to Research Analysts, Investment Bankers, and front-office teams on regulatory matters, including deal restrictions, disclosures, and analyst independence.</li><li>
Act as a strategic compliance partner to ECM, DCM, and Corporate Banking, advising on complex transactions and regulatory implications.</li></ul>
Policy Leadership<ul><li>
Develop, refine, and implement compliance policies and procedures aligned with regulatory expectations and business objectives.</li><li>
Ensure policies are effectively communicated and embedded across relevant teams.</li></ul>
Surveillance &amp; Monitoring<ul><li>
Oversee reviews of research publications, deal announcements, and trading activity to ensure compliance with internal and external standards.</li><li>
Identify trends and emerging risks through data-driven analysis and escalate as appropriate.</li></ul>
Committee Representation<ul><li>
Serve as the Compliance lead on key governance committees, including the Equity Commitments Committee (ECC), Fixed Income Commitments Committee (FICC), Investment Banking Committee (IBC), and Fairness Opinion Committee (FOC).</li></ul>
Specialized Regulatory Expertise<ul><li>
Maintain expert-level knowledge of Regulation M, particularly Rule 101, and requirements related to &ldquo;At the Market&rdquo; (ATM) offerings and block trade reporting.</li><li>
Provide guidance on complex regulatory scenarios and ensure appropriate controls are in place.</li></ul>
Information Barrier Management<ul><li>
Support the design and enforcement of physical and electronic information barriers between public-side and private-side teams, ensuring compliance with firm and regulatory standards.</li></ul>
Training &amp; Culture Building<ul><li>
Design and deliver targeted compliance training programs for banking, research, and trading teams.</li><li>
Foster a culture of compliance through proactive engagement and education.</li></ul>
Regulatory Engagement &amp; Incident Management<ul><li>
Lead responses to regulatory inquiries, audits, and examinations related to Research and Investment Banking.</li><li>
Investigate potential compliance breaches, document findings, and implement remediation plans.</li></ul>
Qualifications
Education<ul><li>
Bachelor&rsquo;s degree in Finance, Law, Business, or related field required; advanced degree or professional certifications (e.g., JD, MBA, CRCM) strongly preferred.</li></ul>
Licensing<ul><li>
FINRA Series SIE, 79, 24, and 63 required or must be obtained within a defined timeframe upon hire.</li></ul>
Experience<ul><li>
Minimum 5 years of progressive compliance experience within investment banking, research, or broker-dealer environments.</li><li>
Demonstrated expertise in equity and fixed income markets and regulatory frameworks.</li></ul>
Skills &amp; Attributes<ul><li>
Deep understanding of U.S. securities regulations (SEC, FINRA) and research-related compliance requirements.</li><li>
Proven ability to influence senior stakeholders and drive compliance initiatives across complex organizations.</li><li>
Exceptional analytical, communication, and interpersonal skills.</li><li>
Ability to thrive in a high-pressure, fast-paced environment with shifting priorities.</li></ul>
Work Schedule<ul><li>
Location: In-office presence required at least 4 days per week.</li><li>
Hours: 40 hours/week, Monday&ndash;Friday.</li></ul> 

Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.

Equal Employment Opportunity
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, 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&rsquo;s or a dependent&rsquo;s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.
Why Work for Us
At 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
Background Check
Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.</div>

Sr. Compliance Manager – Research & Investment Banking

<div>Description
Citizens is looking for an experienced growth-minded and problem-solving attorney to serve as Associate General Counsel supporting the Wealth Management Division of the Citizens Consumer Bank. The Associate General Counsel will report to the Senior Associate General Counsel, Head of Wealth Legal and will be responsible for providing commercial and comprehensive legal guidance to senior management and the business generally supporting the entirety of the Citizens Wealth Management business in partnership with the Head of Wealth Legal.
Citizens Bank has grown to be a top fifteen consumer bank and deposit franchise and has embarked on a significant Wealth transformation initiative to scale its Private Wealth and Private Bank units. The Citizens Wealth Management business includes the Citizens Wealth Management and Private Wealth Management organizations together with the Bank&rsquo;s Trust and fiduciary services and the newer Citizens Trust Company of Delaware.
Location: New York, NY; Boston or Westwood, MA; Stamford, CT; or Johnston, RI preferred but other areas where Citizens has significant offices will be considered.
Primary responsibilities include<ul><li><div>
Advise senior management and other stakeholders on a wide range of legal and compliance issues concerning all aspects within the Bank&rsquo;s full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services..</div></li><div></div><li> 
Develop and support implementation of legal assessments, interpretations, recommendations, and opinions on laws, policies, and regulatory issues.</li><li>
Assist Compliance and Risk colleagues in responding to regulatory requests and examinations from applicable state and federal regulators, including the OCC, SEC, and FINRA, and with the submission of required regulatory filings.</li><li>
Monitor and proactively advise other stakeholders on industry regulatory developments, and legislation that may affect business lines, including regulatory change management;</li><li>
Provide subject matter advice concerning investment management and related commercial agreements, business transactions, claim liability, advisability of prosecuting or defending lawsuits (in partnership with Citizens&rsquo; Litigation team), or legal rights and obligations.</li><li>
As needed, supervise Legal due diligence of potential Wealth Management acquisition targets.</li><li>
As and where required, retain and manage external counsel.</li></ul>
Qualifications, Education, Certifications and/or Other Professional Credentials<ul><li>
10+ years of legal experience with substantial experience in the RIA and Broker-Dealer space.</li><li>
Thorough familiarity with federal securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, relevant portions of ERISA and its parallel provisions under the Internal Revenue Code, the Investment Company Act of 1940 and applicable FINRA rules.</li><li>
Experience working with a range of issues affecting private wealth and institutional clients, with demonstrated experience advising on alternative investment matters.</li><li>
Demonstrated expertise on a wide arrange of investment-management related and general commercial transactional matters, including advanced drafting and negotiation skills, developed through sophisticated and substantial outside counsel or in-house transactional experience.</li><li>
Ability to handle and prioritize multiple high-profile projects, strong attention to detail, willingness to dig in and ability to thrive in a fast paced, dynamic work environment.</li><li>
Experience managing, coaching, and mentoring junior attorneys and/or Legal support staff in an in-house environment.</li></ul>
Ideal Candidates would possess:<ul><li>
A collaborative approach in devising pragmatic and creative solutions across a variety of issues in a growth environment</li><li>
The ability to think strategically and tactically, with excellent judgment and decision-making skills to help the firm make the best risk-based decisions.</li><li>
The ability to see past the immediate question and understand the broader implication and wider strategy.</li><li>
A highly collaborative team player with a positive attitude, growth mindset, good sense of humor and ability to stay calm when the pressure is on.</li></ul>
Education/Certifications:<ul><li>
JD or equivalent, strong academic credentials</li><li>
Admission to at least one U.S. bar required</li></ul>
Hours &amp; Work Schedule<ul><li>
Hours per Week: 40</li><li>
Work Schedule: M - F</li></ul> 
Pay Transparency
The salary range for this position is $210,000 - $230,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the work location, and relevant skills and experience.
We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens&rsquo; paid time off policy exceeds the mandatory, paid sick or paid time-away policy of every local and state jurisdiction in the United States. For an overview of our benefits, visit https://jobs.citizensbank.com/benefits . 

Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.

Equal Employment Opportunity
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, 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&rsquo;s or a dependent&rsquo;s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.
Why Work for Us
At 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
Background Check
Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.</div>

Associate General Counsel

Join Citizens and explore 2   exciting career opportunities. They're hiring for various roles with options for remote or on-site work. Apply today and become part of their innovative team.

Citizens

ABOUT_COMPANY

Sr. Compliance Manager – Research & Investment Banking

Associate General Counsel