Citizens is seeking a highly motivated Compliance Officer to join the Swap Dealer Compliance team. This role supports the firm’s registered swap dealer activities and ensures adherence to regulatory requirements under the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA).
The Compliance Officer will work closely with senior compliance officers to monitor trading activity, review policies and procedures, and assist in the implementation and review of compliance controls. This is a critical role for maintaining Citizens’ strong compliance culture and supporting the Swap Dealer business.
Key Responsibilities
- Conduct trade and communications surveillance, compliance testing, and escalate potential issues.
- Support the development and maintenance of policies and procedures aligned with CFTC and NFA regulations.
- Facilitate compliance training and manage attestation processes for swap dealer personnel.
- Collaborate with Legal, Risk, and Operations to ensure cross-functional compliance.
- Participate in regulatory exam and internal audit responses.
Qualifications
- Bachelor’s degree in finance, Economics, Legal Studies, or related field.
- Familiarity with swap dealer regulatory requirements and compliance best practices.
- 2-4 years of experience in compliance, risk management, or regulatory affairs.
- Strong analytical, organizational, and communication skills.
- Ability to work collaboratively across business and control functions.
- Proficiency in Excel, PowerPoint, and Word.
- Experience with AI is a plus.
To thrive as a colleague at Citizens, candidates must demonstrate a strong customer-centric mindset, exhibit persistence and resilience in the face of challenges, and embrace continuous learning to adapt and grow in a dynamic environment.
Hours and Work Schedule:
- Hours per Week: 40
- Locations: NYC, Stamford, CT or Boston, MA
- Work Schedule: Monday – Friday, 4 days in the office, 1 day remote.
Pay Transparency:
The salary range for this position is $65,000-$97,000 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, 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 every local and state jurisdiction in the United States. For an overview of our benefits, visit https://jobs.citizensbank.com/benefits .
Citizens will not sponsor an applicant for a work visa, such as an H-1B, for this position.
