Compliance Officer - Broker Dealer & RIA (Remote)

First Citizens Bank•Raleigh, NC

3d•Remote

About The Position

The Compliance Officer will administer and enhance the Firm’s Broker-Dealer and RIA Compliance Program. The role supports the broker-dealer compliance program across written supervisory procedures, communications review, branch inspections, compliance training, policy governance, regulatory implementation, and program development. The position partners with stakeholders across the Firm to strengthen supervisory practices, support business growth, and translate regulatory expectations into scalable processes, practical guidance, and effective supervisory practices. This is a remote role that may be hired in several markets across the United States. The base pay is generally between $115,000 and $130,000. Actual starting base pay depends on skills, experience, location, and other permitted factors. Total compensation for some roles may also include variable incentives, bonuses, benefits, and/or other awards. First Citizens Bank offers a benefits program; further details are available at the linked benefits page in the posting.

Requirements

Bachelor’s degree and 6 years’ experience, or high school diploma or GED/equivalent and 10 years’ experience in Compliance, Legal, Audit, or Banking.
FINRA Series 7, 24, and 63/65 or 66 licenses required, or to be obtained shortly after hire.
Strong working knowledge of FINRA and SEC rules applicable to broker-dealer supervisory programs.
Experience administering Written Supervisory Procedures and supervisory governance programs.
Experience reviewing communications, advertising, correspondence, sales literature, and marketing materials.
Strong analytical, organizational, and documentation skills.
Ability to communicate complex regulatory requirements effectively and provide practical business guidance.
Intellectual curiosity, independence, drive for results, and process-improvement orientation.

Nice To Haves

Experience supporting broker-dealer branch examination programs.
Experience developing or delivering compliance and supervisory training.
Experience within a bank-affiliated broker-dealer or large financial institution.
Additional FINRA registrations.
Strong project management, relationship management, and advisory skills.

Responsibilities

Administer and update the Firm’s Written Supervisory Procedure framework and RIA Compliance Manuals.
Partner with business stakeholders to ensure supervisory procedures reflect current business practices and regulatory expectations.
Evaluate business, product, and process changes for their effects on supervisory procedures, controls, and regulatory obligations.
Support annual supervisory control and compliance program reviews, including documentation and remediation activities.
Support the branch inspection program, including planning, documentation, issue tracking, and remediation activities.
Support regulatory inquiries, examinations, audits, and internal reviews as needed.
Contribute to supervisory control enhancements and other compliance initiatives that strengthen the control environment.
Assist in developing compliance and supervisory training programs and content.
Provide day-to-day compliance guidance to supervisory personnel and business partners.
Contribute to broader compliance projects and program enhancement initiatives as needed.
Identify and escalate cross-functional themes and systemic issues based on consolidated reporting.
Review and approve broker-dealer advertising, sales literature, retail communications, correspondence, and other communications with the public for compliance with regulatory requirements and Firm standards.
Provide business partners with practical guidance regarding advertising, marketing, and communication-related regulatory obligations.