Citizens Swap Dealer Compliance Officer

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. 

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.

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.

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.

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Equal Employment Opportunity

Citizens, its parent, subsidiaries, and related companies (Citizens) provide 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, 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 all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.

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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.