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Citizens Compliance Officer in Westwood, Massachusetts

Description

The Compliance Specialist will f acilitate the FINRA securities and insurance licenses/appointments for the Firm’s registered representatives and associated persons.

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

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

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

  • Maintains licensing & registration e-files.

  • Provides administrative and organizational support to the Licensing & Registration Manager, serve as back-up to Manager when necessary.

  • Other projects and duties may be assigned

Qualifications

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

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.

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.

Equal Employment Opportunity

Citizens, its parent, subsidiaries, and related companies provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability or perceived disability, ethnicity, gender, gender identity or expression, 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/Disabled/Veteran

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

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