Research / Investment Banking Compliance Officer

Overview

Research / Investment Banking Compliance Officer at Citizens JMP Securities, LLC (CJMP), a subsidiary of Citizens Financial Group. The role supports compliance with applicable regulations, internal policies, and ethical standards governing Research and Investment Banking activities.

Responsibilities

• Regulatory Oversight: Monitor compliance with SEC, FINRA, and global regulations related to Research and Investment Banking activities.
• Conflict Management: Oversee processes to identify and manage conflicts of interest between Research and Investment Banking activities, ensuring compliance with the Global Research Settlement and firm policies.
• Advisory: Provide real-time guidance to Research Analysts, Investment Bankers, and front-office teams on compliance matters, including deal-related restrictions, research disclosures, and analyst independence.
• Policy Development: Draft, update, and implement compliance policies and procedures for Research and Investment Banking functions.
• Surveillance & Monitoring: Conduct reviews of research reports, deal announcements, and trading activities for compliance with regulatory and internal standards.
• Collaboration: Partner with Equity Capital Markets (ECM), Debt Capital Markets (DCM), and Corporate Banking to provide compliance guidance on transactions and related activities; coordinate with Trading and BD Control Room, and the Centralized Control Room on the management and accuracy of the firm’s Restricted List and Watch List.
• Committee Participation: Serve as a Compliance representative on key Investment Banking committees, including ECC, FICC, IBC, and FOC.
• Specialized Knowledge: Maintain understanding of ATM offerings and Regulation M (Rule 101) requirements to prevent market manipulation in distribution and trading contexts.
• Information Barriers: Assist with physical and electronic barriers to maintain separation between private-side and public-side information.
• Training: Deliver targeted compliance training to banking, research, and trading teams on regulatory requirements and firm policies.
• Regulatory Interaction: Assist with regulatory inquiries, audits, and examinations related to investment banking and research activities.
• Incident Management: Investigate and resolve compliance breaches, documenting findings and implementing remediation plans.

Qualifications

• Education: Bachelor’s degree in finance, law, business, or related field; advanced degree or certifications preferred.
• Licenses: FINRA SIE, 79, 24, 63 or the ability to obtain these licenses in a timely manner upon joining is required.
• Experience: 2-5+ years in compliance within investment banking, research, or broker-dealer environment, with strong knowledge of equity and fixed income markets.
• Skills: Strong understanding of U.S. securities regulations (SEC, FINRA) and research-related rules; familiarity with Global Research Settlement and conflicts management frameworks; excellent analytical, communication, and interpersonal skills; ability to work in a fast-paced, high-pressure environment.

Hours And Work Schedule

At least 4 days in office. Hours per week: 40. Work schedule: Monday–Friday.

Pay and Benefits

Salary range is $84,000-$126,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on location, skills and experience. Benefits include medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs, and more. Citizens’ paid time off policy exceeds the mandatory paid time-off requirements in many jurisdictions. For an overview of benefits, visit the employer’s benefits page. Note: Citizens will not sponsor a work visa for this position.

Equal Employment Opportunity

Citizens, its parent, subsidiaries, and related companies provide equal employment and advancement opportunities to all colleagues and applicants without regard to age, ancestry, color, citizenship, disability, ethnicity, gender, gender identity or expression, genetic information, marital status, medical condition, military or veteran status, national origin, pregnancy, or any other protected category. We are committed to fostering an inclusive culture where everyone is treated with respect and professionalism.

Why Work for Us

Citizens offers a customer-centric culture focused on helping customers and giving back to local communities. You’ll join a collaborative team with access to training and tools to accelerate potential and career growth.

Posting End Date: 10/16/2025