Conduct and Ethics Manager

Job Description

The Conduct and Ethics Manager is an independent compliance partner who is responsible for working closely with the Conduct and Ethics Director, the Control Room team, and our Citizens Financial Group (CFG) business partners, at all levels of the organization. The role involves monitoring compliance with regulations and Control Room policies to manage regulatory risks. Key process areas include Conflict Management, Personal Securities Transactions Surveillance, and Preclearance Trade Reviews. The Conduct and Ethics Manager reports to the Conduct and Ethics Director.

Core Responsibilities

Support the delivery of an effective and independent Compliance Risk Management Program for CFG that aligns with organizational standards and regulatory expectations.

• Assist the Conduct and Ethics Director in maintaining an effective governance structure across the Control Room and ensuring its continuous maturity.
• Represent the Control Room in various governance meetings, as appropriate.
• 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.
• Execute and escalate Control Room-related issues daily, including Conflict Clearance and Escalation, Information Barrier Advisory, Personal Securities Transactions, and Trade Surveillance.
• Coordinate and deliver relevant training on topics such as conflicts of interest, handling Material Non-Public Information, and Personal Securities Transactions.
• Promote a business partner focus throughout strategy, communications, and engagement, ensuring it is built into Control Room culture.
• Provide regulatory analysis and advice on organizational change initiatives (e.g., new products, processes).
• Work closely with businesses to provide timely regulatory advice, ensuring compliance with relevant laws and regulations, preventing regulatory violations, and escalating failures and shortcomings.
• Build and maintain effective partnerships within the business.
• Identify, escalate, and manage potential and actual violations (e.g., market abuse, information barrier issues).
• Promote awareness of regulatory standards, upstream risks, and industry best practices across the business and relevant support areas, including risk.
• Identify areas for enhancing regulatory risk standards and assist in their effective implementation.
• Engage in investigations initiated internally or externally by regulators/other agencies, as well as HR investigations/disciplinary procedures concerning CFG staff.
• Operate within the Policy Framework, standards, and processes, ensuring a consistent and quality approach to work within the function and efficient compliance operations.
• Establish and deploy robust risk and control frameworks for the Control Room, including communication, training, and awareness.
• Be a visible leader, foster a partnership approach to success, and create an environment that empowers and motivates employees.
• Promote a culture that puts customers and people at the heart of the business and encourages good risk management.

Qualifications

• Ability to understand and apply regulations applicable to the Control Room function, including SEC 10b(5)-1, Rule 138/139, and FINRA rules.
• Ability to interface with IT to investigate technical issues, discuss system enhancements, and develop new systems.
• Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
• A self-starter with a professional and detail-oriented demeanor.
• Excellent written and verbal communication skills, with a proven ability to convey complex concepts clearly and concisely to diverse audiences.
• Exceptional conflict resolution skills, including the ability to diffuse potentially volatile situations.
• Strong interpersonal skills and a proven ability to build relationships with and influence business leaders.
• 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, providing compliance advisory support to other business areas.
• Series 7 required, Series 24 preferred.
• Working knowledge of FIS ECM platform preferred.
• Proficient working knowledge of Microsoft Office.
• Proven ability to think strategically and translate concepts into effective processes.
• Highly developed creative skills to resolve complex problems and identify alternatives where established procedures may not exist.
• Ability to demonstrate decisiveness and sound judgment consistently.

Hours & Work Schedule

• Hours per Week: 40
• Work Schedule: M-F, Hybrid

About Us

Equal Employment Opportunity

Citizens, its parent, subsidiaries, and related companies (Citizens), provides 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, transgendered and transitioning individuals, 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 colleagues to bring their best selves to work every day and where all are expected to be treated with respect and professionalism. Employment decisions are based solely on experience, performance, and ability. We perform our best so we can do more for our customers, colleagues, communities and shareholders.

Equal Employment and Opportunity Employer

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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.