Description

　　Clarfeld Citizens Private Wealth headquartered in Westchester, New York, with 24 regional offices across the country, is a leading wealth management firm. For more than three decades Clarfeld’s team of CFAs, CPAs, attorneys and CFP®s provide full investment and wealth management services; comprehensive income tax and estate tax planning, structuring, compliance and governmental representation capabilities; and highly personalized concierge family office services. Clarfeld offers innovative solutions crafted for the sophisticated needs of high-net-worth individuals, families and foundations and has cultivated long-lasting client relationships through multiple market cycles. Clarfeld presently manages and advises on over $18 Billion in assets, offering a wide scope of services, expertise and research, while intimately focusing on each client’s unique circumstances.

　　Clarfeld is looking for a First Line Compliance Risk Manager to support all aspects of RIA compliance activities reporting to the Deputy CCO of Clarfeld. They will provide consultative support and advice to business line management regarding compliance and business concerns. Will also assist in the identification, assessment, implementation and communication of regulatory issuances and when necessary, update policies and procedures for adequacy and accuracy.

　　Additionally, will support the preparation for and the ongoing management of internal and external compliance examinations, including regulatory examinations by the SEC. Timeliness and coordination of competing priorities is critical.

　　Lastly, the First Line Risk Manager/Compliance Manager must maintain strong working knowledge of products, services, and regulations and remain current with all applicable industry rules and regulations.

　　Primary Responsibilities Include:

　　Assist in the review and resolution of customer dissatisfactions/complaints.

　　Establish and cultivate a strong working relationship with the respective Business Unit Risk Management teams to advance the culture and effectiveness of a synchronized approach to risk management in respect of current, new or emerging applicable banking law and regulation as well as internal corporate compliance policy and procedures.

　　Using internal protocols, identify compliance issues, analyze the risk based on knowledge the business and the current regulatory environment, and escalate to the DCCO, and/or First Line Risk Team Lead based on severity of the risk(s).

　　Consult with the Business Management and colleague(s) regarding the design and implementation of key strategic initiatives and business changes to provide tactical regulatory/compliance advice and recommendations.

　　Work with Central Compliance team to understand upstream risks as well as new and changing regulatory information, assess the impact to the Bank based on knowledge of products, services, and processes, communicate requirements to the Business Units, and help drive prioritization of the changes.

　　Required Qualifications:

　　2+ years' experience working within an RIA organization with progressive compliance and risk responsibilities.

　　Understanding of the rules, regulations and legal requirements of the SEC

　　Knowledge of operational matters within a Registered Investment Advisor

　　Able to support, present to and appropriately interact with all levels of Senior and Executive Management

　　Strong communication, collaboration, and technical compliance skills. Should be able to work effectively with others at all levels across the organization and provide authoritative guidance to management and staff within the organization.

　　Problem solving skills as well as flexibility and adaptability are of key importance.

　　Preferred Qualifications:

　　Proficiency and or direct experience with regulatory examination principles and practices for the securities industry

　　Experience reading and interpreting regulations, laws, and statutes.

　　Strong research skills.

　　Education:

　　Bachelor’s degree required.Hours & Location: 100% On-site Tarrytown, NY, with hybrid structure once able to demonstrate independence in the job function.

　　Hours per Week: 40

　　Work Schedule: Monday-Friday

　　Pay Transparency

　　The salary range for this position is $90,000.00 - $108,000.00 per year. 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’ paid time off policy exceeds the mandatory, paid sick or paid time-away policy of very 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

　　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