[Hiring] Compliance Officer @First Citizens Bank

Role Description

This is a remote role that may be hired in several markets across the United States. The Compliance Officer serves as a senior individual contributor within Wealth Compliance, providing regulatory oversight of the Firm's electronic communications surveillance program. The role is responsible for:

• Reviewing and investigating escalated communications
• Assessing conduct and supervisory risk
• Supporting off-channel communications oversight
• Partnering with business and compliance leaders to identify emerging risks and trends

The ideal candidate is an experienced broker-dealer and/or RIA compliance professional who possesses strong supervisory judgment, investigative skills, and the ability to independently evaluate complex communications and sales practice matters.

Qualifications

• Bachelor's Degree and 5 years' experience OR High School Diploma or GED/Equivalent and 9 years' experience in Compliance, Legal, or Audit
• FINRA Series 24 license required
• 3-5+ years of broker-dealer and/or RIA compliance, supervision, or risk experience
• Experience conducting investigations, supervisory reviews, or surveillance reviews
• Working knowledge of FINRA communications and supervision requirements, including Rules 2210 and 3110
• Strong analytical, organizational, and written communication skills
• Ability to independently evaluate risk and exercise sound regulatory judgment

Requirements

• Experience supporting electronic communications surveillance programs within a broker-dealer or dual registrant environment
• Prior supervisory principal experience
• Experience with Global Relay or similar communications surveillance platforms
• Familiarity with off-channel communications governance and surveillance
• Experience performing trend analysis, reporting, and risk assessments
• Insurance Licensing/Life & Health experience

Benefits

Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits .