Conduct and Ethics Manager

Description

The Conduct and Ethics Manageris an independent compliance partner who is responsible for working day-to-day with the Conduct and Ethics Director, the Control Room team, and our CFG business partners, at all levels of the organization, to monitor compliance with regulations and Control Room policies to manage the regulatory risks accordingly.The related process areas include, but are not limited to, Conflict Management, Personal Securities Transactions Surveillance and Preclearance Trade Reviews. The Conduct and Ethics Managerwill report to the Conduct and Ethics Senior Manager.

STRATEGIC PROCESS:Support the delivery of an effective and independent Compliance Risk Management Program for CFG, including business lines, support / control functions, and legal entities that is aligned with organizational programs and standards, as well as regulatory expectations.

• Support the Conduct and Ethics Senior Manager in the maintenance of an effective and efficient governance structure across the Control Room and ensuring the continuous maturity of the Control Room program

• Represent the Control Room in various governance meetings, where appropriate.

BUSINESS PARTNER EXPECTATIONS:Create value for CFG by providing strong business partnerships, insight, advice, and assurance on the adequacy and effectiveness of CFG’s compliance risk framework, while maintaining appropriate independence.

• Day to day execution and escalation of Control Room related issues, including, but not limited to: Conflict Clearance and Escalation; Information Barrier Advisory; Personal Securities Transactions; Trade Surveillance

• Maintain and implement Control Room Policies and Procedures

• Coordinate and deliver relevant training which include the following topics, as needed: conflicts of interest; handling of Material Non-Public Information; Personal Securities Transactions

• Promote business partner focus throughout strategy, communications, and engagement.Ensure business partner focus is built into Control Room culture.This includes understanding our business partner's goals of focusing on our customers

• Provide regulatory analysis and advice in relation to organization change initiatives (e.g., new products; processes)

• Work closely with the businesses, where relevant, in providing timely regulatory advice to ensure compliance with all relevant laws and regulations, pre-emption and prevention of regulatory violations and ensuring that failures and shortcomings are escalated accordingly

• Build and maintain effective partnerships within the business

• Ensure that any potential and actual violations (e.g., market abuse; information barrier issues) are identified, escalated, and managed.

• Promote awareness of applicable regulatory standards, upstream risks and industry best practice across the business and relevant support areas including risk

• Identify areas where regulatory risk standards can be enhanced and assist in their effective implementation

• Engage in investigations that may be initiated internally or externally by regulators/other agencies, as well as HR investigations/disciplinary procedures concerning CFG staff

RISK, EFFICIENCY, AND CONTROL:Operate within Policy Framework, standards and processes, ensuring a consistent and quality approach to work is adopted within the function and that Compliance operates efficiently.

Understand the inherent, material risks of the business/organization.

• Establish and deploy robust risk and control frameworks for the Control Room, including communication, training and awareness.

• Provide expert support and advice to the business on risk management. This includes interpreting and complying with the risk policy standards and risk management framework.

• Provide management with relevant information and reporting and escalate concerns where appropriate.

PEOPLE MANAGEMENT:Be a visible leader, foster a partnership approach to success, and create an environment which empowers and motivates employees.

• Engender a culture which puts customers and people at the heart of the business and promotes good risk management

• Ensure deliverables and training modules are completed ahead of the deadline

• Ensure your continued development within the organization

QUALIFICATIONS:

• Ability to understand and apply regulations applicable to the Control Room function, including, but not limited, to SEC 10b(5)-1, Rule 138/139, FINRA rules

• Ability to interface with IT in order to investigate technical issues, discuss enhancements to existing systems, and development of new systems

• Strong analytical and problem solving skills with the ability to exercise sound and balanced judgement

• A self-starter with a professional and detailed oriented demeanor

• Excellent communication (written and oral) and interpersonal skills, including ability to diffuse potentially volatile situations

• Ability to manage multiple, deadline oriented tasks in a fast-paced environment

• 5+ years of experience in Control Room or equivalent financial services industry experience

• Series 7; or Series 24; or strong understanding of financial markets

• Working knowledge of FIS ECM platform a plus

• Proficient working knowledge in Microsoft Office products

• Extensive experience of providing compliance advisory support in financial services environments acting as a compliance function representative to other business areas

• Influencing and conflict resolution skills

• Proven ability to convey complex concepts in a clear and concise manner, to potentially diverse audiences

• Proven ability to think strategically and to translate concepts into effective processes

• Highly developed creative skills to resolve complex problems and/or identify alternatives where established procedures may not exist

• Ability to demonstrate decisiveness and sound judgement on a consistent basis

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’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. 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.

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.

Benefits

We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more.

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