Citizens Bank Compliance Specialist in Canton, Massachusetts

Description

The Compliance Specialist will support the broker-dealer’s licensing and registration activities reporting to the Licensing & Registration Compliance Manager.

This position is responsible for the following activities:

  • Facilitate the securities and insurance licenses/appointments for the Firm’s financial consultants, licensed bankers, premier bankers, and private bankers.

  • Completes routine follow-up on submitted licensing paperwork to ensure proper processing and updates internal Registration database as needed

  • Work with Insurance carriers to appoint licensed colleagues with such carriers

  • Monitors expiring insurance license report and notifies employees of pending expirations

  • Provides assistance with processing requests and responding to emails received in the Licensing & Registration mailbox.

  • Provides administrative support for special projects to include research, compiling data and preparation of summary reports based on results

  • Maintains licensing & registration files in an organized and accessible manner.

  • Provides administrative and organizational support to the Licensing & Registration Manager.

  • Other projects and duties may be assigned

Qualifications

  • Prior work experience in a broker-dealer or insurance company is required.

  • FINRA registration and insurance appointment administration experience required.

  • Strong communication skills (written & oral); ability to meet deadlines; team player; ability to build strong working relationships with the sales department.

  • Proficient in Microsoft Office Suite

  • Ability and desire to provide excellent and proactive customer service

  • Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists.

  • Ability to interpret a variety of instructions furnished in written, oral, diagram or schedule form

Education:

  • Associate Degree

#LI-KH1

Hours & Work Schedule

Hours per Week: 40 Hours

Work Schedule: Monday through Friday

Why Work with 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.

Equal Employment Opportunity

It is the policy of Citizens Bank and Citizens Securities, Inc. to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.

Equal Opportunity & Affirmative Action Employer Disabled/Veteran

Citizens Bank is a brand name of Citizens Bank, N.A. and each of its respective subsidiaries, and Citizens Bank of Pennsylvania.