Job Details
The Compliance Manager will support all aspects of compliance activities reporting to the Sr. Compliance Manager. This individual will be the independent compliance partner who will be responsible for working within the Citizens Marketing Department to advice and counsel on applicable SEC, FINRA, MSRB and state securities regulations applicable to any and all marketing/advertising materials which involve any affiliated broker dealer/ RIA. The individual must possess an expert level knowledge of all applicable rules/regulations related to broker dealer/ RIA marketing and advertising activities. Most importantly the SEC advertising rule. As a Compliance team member, working within the Citizens Compliance function, will be responsible for:Working on marketing/advertising concepts from genesis to advise on applicability of relevant rules/regulations. Maintain seat at the table with CFG marketing/advertising department throughout the development of marketing/advertising materials which in...Compliance Manager, Marketing, Compliance, Manager, Broker, Advertising, Banking, Business Services