[Hiring] Senior Compliance Analyst @First Citizens Bank

Role Description

This is a remote role that may be hired in several markets across the United States. The Senior Compliance Analyst supports the Firm's electronic communications surveillance program through:

• Review of escalated communications
• Investigation support
• Risk identification
• Surveillance administration activities

The role partners with Compliance and business stakeholders to support timely and effective supervision of electronic communications across the Firm. The ideal candidate has broker-dealer and/or RIA industry experience, strong attention to detail, and an interest in developing expertise in compliance supervision and regulatory risk management.

Qualifications

• Bachelor's Degree and 4 years' experience OR High School Diploma or GED/Equivalent and 8 years' experience in Analytics, Financial Compliance/Regulatory environment
• FINRA Series 24 license required
• 1-3 years BD and/or RIA experience, ideally within supervision or Compliance
• Basic understanding of securities industry regulations and supervisory concepts
• Strong organizational, analytical, and communication skills
• Ability to manage competing priorities in a fast-paced environment

Requirements

• Broker-dealer or RIA compliance experience
• Experience reviewing electronic communications, account activity, correspondence, or supervisory exceptions
• Familiarity with FINRA Rules 2210 and 3110
• Experience using surveillance, case management, or workflow platforms
• Insurance Licensing/Life & Health experience
• Interest in pursuing a long-term career in compliance, supervision, and regulatory risk management

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 .