[Hiring] Senior Compliance Officer @First Citizens Bank

Role Description

This is a remote role that may be hired in several markets across the United States. The Senior Compliance Officer will provide senior-level compliance expertise across broker-dealer and RIA communications, complaint management, and complex representative investigations. This role is responsible for oversight of Communications with the Public and Advertising review, advancement of the Firm's complaint management framework, and leadership of complex representative investigations and disciplinary matters.

The position combines regulatory expertise, risk assessment, and hands-on execution. The Senior Compliance Officer reviews and advises on advertising and communications, helps support the Firm's complaint management program, conducts complex investigations, and partners with business and compliance leadership in evaluating conduct, supervisory, and regulatory risk.

The ideal candidate is a seasoned compliance professional with significant broker-dealer experience and demonstrated expertise in complaint management and investigations. They should also have prior experience in performing communications with the public and advertising review in both broker dealer and RIA environments. Strong knowledge of FINRA Rule 4530 specific to disclosure obligations is essential.

Qualifications

• Bachelor's Degree and 7 years' experience OR High School Diploma or GED/Equivalent and 11 years' experience in Compliance, Legal, or Audit
• 7+ years of broker-dealer and/or RIA compliance experience
• Strong experience in complaints, investigations, and regulatory reporting
• Deep knowledge of FINRA rules, including Rule 4530, and applicable FINRA and SEC requirements around communications with the public and advertising
• Proven leadership and ability to manage complex regulatory matters
• FINRA Series 7, 24, and 63/65 or 66 licenses (or ability to obtain shortly after hire)

Requirements

• Experienced in a large, dual-registrant financial institution
• Experience reviewing advertising and communications that reference and market integrated trust, broker-dealer, and registered investment adviser (RIA) services and solutions
• Strong investigative, risk assessment, and escalation skills
• Executive communication and stakeholder management expertise
• Insurance Licensing/Life & Health experience

Benefits

The base pay for this position is generally between $160,000 and $175,000. Actual starting base pay will be determined based on skills, experience, location, and other non-discriminatory factors permitted by law. For some roles, total compensation may also include variable incentives, bonuses, benefits, and/or other awards as outlined in the offer of employment.

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 First Citizens Bank Benefits .