Senior Compliance Officer - Institutional Asset Management & Capital Markets

First Citizens Bank • Raleigh, NC

3d • Remote

About The Position

The Senior Compliance Officer supports and advances the firm’s commercial broker-dealer and investment adviser compliance programs. The role provides compliance leadership across risk assessments, policies and procedures, controls and monitoring, testing, audits, and strategic compliance initiatives. It serves as a trusted advisor to business leaders, helping the organization navigate regulatory requirements while supporting growth, innovation, and new business initiatives.

The successful candidate will bring expertise in investment banking compliance, private investment compliance, and/or commercial broker-dealer and investment adviser compliance programs, along with strong analytical and problem-solving capabilities, sound judgment, and the ability to provide practical, risk-based guidance in a fast-paced environment. The role is remote across several U.S. markets; preferred locations are New York, NY, San Francisco, CA, and Charlotte, NC, where the position is hybrid with three days per week in the office.

Requirements

• Bachelor’s degree and 8 years of experience, or high school diploma/GED/equivalent and 12 years of experience, in Compliance, Legal, Audit, Banking, or another related area.
• Strong working knowledge of the Investment Advisers Act of 1940, SEC Marketing Rule, FINRA rules, and related regulatory guidance.
• Experience providing compliance advisory support to an asset manager engaged in private investments.
• Excellent written and verbal communication skills.
• Strong analytical, organizational, and problem-solving skills.
• Ability to exercise sound judgment and provide risk-based recommendations.
• Ability to manage multiple priorities and deadlines.
• Ability to work independently and collaboratively with cross-functional teams.
• FINRA Series 7 and 24 licenses.

Nice To Haves

• Experience with electronic communication surveillance systems and trade surveillance systems.
• Ability to mentor and lead large cross-functional projects.

Responsibilities

• Serve as the primary compliance advisor for private investments, private placement engagements, capital raising activities, and related strategic initiatives.
• Partner with business leaders and stakeholders on strategic growth opportunities while ensuring alignment with regulatory obligations and firm standards.
• Provide timely, practical, risk-based compliance guidance and help resolve complex compliance matters.
• Balance regulatory expectations with business objectives and operational realities.
• Identify, assess, and escalate conflicts of interest, confidentiality concerns, nonpublic information risks, and other transaction-related compliance issues to the Chief Compliance Officer as appropriate.
• Review pitchbooks, teasers, management presentations, and other transaction or marketing materials for compliance with applicable regulations and firm policies.
• Provide compliance oversight of portfolio management activities to support consistency with client mandates, disclosed objectives, contractual requirements, and regulatory obligations.
• Oversee compliance reviews involving best execution, trade allocation and aggregation practices, and conflict-of-interest management.
• Maintain and strengthen compliance program policies, procedures, Written Supervisory Procedures, and Codes of Ethics.
• Evaluate regulatory developments and implement appropriate program enhancements.
• Assess compliance frameworks, identify gaps, and implement scalable control solutions.
• Lead corrective action initiatives to address complex compliance issues and strengthen program effectiveness.
• Participate in compliance risk assessments and lead monitoring, surveillance, and testing activities.
• Lead internal compliance testing and audit activities.
• Support the Chief Compliance Officer in regulatory examinations, inquiries, investigations, and other complex regulatory matters.
• Contribute to new product and service initiatives and other strategic programs supporting organizational growth.
• Participate in special projects and perform additional responsibilities as assigned.

Benefits

• The company describes its benefits program as competitive and designed to meet associates’ needs; details are available through the benefits website.
• For some roles, total compensation may include variable incentives, bonuses, benefits, and/or other awards as outlined in the offer of employment.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior