Conduct and Ethics Manager

About the role

The Conduct and Ethics Manager is an independent compliance partner responsible for working day-to-day with the Conduct and Ethics Director, the Control Room team, and CFG business partners at all levels of the organization. The role involves monitoring compliance with regulations and Control Room policies to manage regulatory risks, with key process areas including Conflict Management, Personal Securities Transactions Surveillance, and Preclearance Trade Reviews.

Responsibilities

• Support the delivery of an effective and independent Compliance Risk Management Program for CFG, aligning with organizational programs, standards, and regulatory expectations.
• Assist the Conduct and Ethics Senior Manager in maintaining an effective governance structure across the Control Room and ensuring continuous program maturity.
• Represent the Control Room in various governance meetings.
• Provide strong business partnerships, insight, advice, and assurance on the adequacy and effectiveness of CFG’s compliance risk framework while maintaining independence.
• Execute and escalate Control Room-related issues, including Conflict Clearance, Information Barrier Advisory, Personal Securities Transactions, and Trade Surveillance.
• Maintain and implement Control Room Policies and Procedures.
• Coordinate and deliver training on conflicts of interest, handling of Material Non-Public Information, and Personal Securities Transactions.
• Promote business partner focus in strategy, communications, and engagement, embedding it into Control Room culture.
• Provide regulatory analysis and advice for organizational change initiatives (e.g., new products, processes).
• Work closely with business partners to ensure compliance with relevant laws and regulations, preventing regulatory violations and escalating failures.
• 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 support areas.
• Identify areas for enhancing regulatory risk standards and assist in their implementation.
• Engage in investigations initiated internally, externally by regulators, or as part of HR disciplinary procedures.
• Operate within the Policy Framework, ensuring a consistent and quality approach to compliance work.
• Understand inherent business risks and deploy robust risk and control frameworks for the Control Room.
• Provide expert support and advice on risk management, including interpreting and complying with risk policies and frameworks.
• Provide management with relevant reporting and escalate concerns as appropriate.
• Foster a partnership approach to success, empowering and motivating employees.
• Promote a culture centered on customers, people, and good risk management.
• Ensure deliverables and training modules are completed ahead of deadlines.
• Maintain personal development within the organization.

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 sound and balanced judgment.
• Self-starter with a professional and detail-oriented demeanor.
• Excellent communication (written and oral) and interpersonal skills, including the ability to diffuse volatile situations.
• 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.
• Series 7 or Series 24 certification, or strong understanding of financial markets.
• Working knowledge of FIS ECM platform is a plus.
• Proficient in Microsoft Office products.
• Extensive experience providing compliance advisory support in financial services environments.
• Strong influencing and conflict resolution skills.
• Proven ability to convey complex concepts clearly and concisely to diverse audiences.
• Strategic thinking and ability to translate concepts into effective processes.
• Highly developed creative skills to resolve complex problems and identify alternatives.
• Ability to demonstrate decisiveness and sound judgment consistently.

Pay

The salary range for this position is $97,000 - $129,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on factors including budget, work location, and relevant skills and experience.

Benefits

• Comprehensive medical, dental, and vision coverage.
• Retirement benefits.
• Maternity/paternity leave.
• Flexible work arrangements.
• Education reimbursement.
• Wellness programs.
• Paid time off policy exceeding mandatory local and state requirements.

For an overview of benefits, visit https://jobs.citizensbank.com/benefits.