Description

　　Equities Research Compliance Responsibilities:

　　Provide regulatory advice and respond to questions from the Director of Research, research analysts and associates, and supervisory analysts. Provide guidance about the content of research reports and how to apply the research rules to situations that arise. Assist Publishing in ensuring that research reports meet all regulatory requirements. Some questions may arise outside of normal business hours, especially during corporate earnings seasons.

　　Develop, implement, and maintain policies and procedures for Equities Research.

　　Analyze regulatory changes as they relate to Research and coordinate with various stakeholders to develop efficient processes and procedures to address any new requirements.

　　Establish and execute a controls testing program designed to ensure that policies and procedures are reasonably designed to achieve compliance with applicable regulations.

　　Coordinate with compliance officers from potential investor clients about research compliance when they are considering adding the firm as a new broker. Complete annual research questionnaires from investor clients.

　　Together with the Head of Publishing, assist with internal audits of the Research Department.

　　Coordinate with the Legal Department when Research has questions for Legal or vice versa.

　　Ensure regulatory compliance when Research is exploring developing new products, such as video research reports, podcasts, or a new format for research reports.

　　Develop one-off disclosures for research reports and analyst public appearances when one-off situations arise.

　　Coordinate regulatory responses to research-related exams, inquiries, and requests.

　　Coordinate with CCO on developing and implementing strategies to enhance regulatory compliance and reduce risk.

　　Develop, organize, and deliver on-going compliance training.

　　Participate on industry committees and attend conferences and roundtables as applicable.

　　Manage research wall crossings.

　　Have a basic understanding of Reg. M as it relates to Capital Markets and Research.

　　Assist in maintaining Restricted/Watch Lists.

　　Ensure that Research public appearances are handled properly.

　　Ensure that Research’s role in corporate access events is properly handled.

　　Qualifications:

　　5-10+ years of securities industry compliance or regulatory experience, including equities research.

　　Strong knowledge of SEC and FINRA research-related rules, especially FINRA Rule 2241.

　　Bachelor’s degree and/or equivalent work experience in the financial industry, especially with equities research

　　Series 87 exam, or willingness to take the exam within the first 3 months of employment.

　　Series 7, 24, and/or 79 would be a plus.

　　Ability to reach sound judgments and act quickly under tight deadlines.

　　Familiarity with the Blue Matrix publishing system.

　　Must be a self-starter with strong work ethic and be flexible and adaptive.

　　Maintain prompt and regular attendance.

　　Excellent written and verbal communication skills.

　　Ability to take initiative in completing assigned tasks in a timely manner and meet deadlines.

　　Strong time management skills, ability to learn quickly and adapt to changes and be flexible.

　　Excellent organizational skills, attention to detail and ability to prioritize and manage multiple tasks.

　　Proficient knowledge of Microsoft Office.

　　Willingness to assist in other areas on an as-needed basis.

　　Must be available for travel as needed.

　　Hours and Work Schedule

　　Hours per Week: 40

　　Work Schedule: Monday - Friday

　　Pay Transparency

　　The salary range for this position is $159,680 - $239,520 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, 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’ paid time off policy exceeds the mandatory, paid sick or paid time-away policy of very local and state jurisdiction in the United States.

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　　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

　　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.

　　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

　　02/25/2024