Senior Manager Compliance - Broker-Dealer & RIA (Complaints/Licensing & Registrations)(Remote)

First Citizens Bank•Raleigh, NC

10d•Remote

About The Position

This is a remote role that may be hired in several markets across the United States. The Compliance Manager is a senior leader within Compliance, responsible for oversight of the firm’s Broker-Dealer and Registered Investment Adviser (RIA) complaint management programs, representative investigations, disciplinary processes and Licensing & Registrations function. This role combines strategic leadership with hands-on execution, managing complex matters while driving consistency, scalability, and regulatory compliance across multiple functions. The ideal candidate brings deep expertise in broker-dealer complaint handling and investigations, strong regulatory knowledge, and sound judgment in assessing conduct and supervisory risk. A strong understanding of FINRA Rule 4530, complaint classification standards, and disclosure requirements are essential.

Requirements

Bachelor's Degree and 8 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience OR High School Diploma or GED and 12 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience
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, U4/U5, and complaint classification standards
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).

Nice To Haves

Experienced in a large, dual-registrant financial institution
Strong investigative, risk assessment, and escalation skills
Executive communication and stakeholder management expertise
Insurance Licensing/Life & Health experience

Responsibilities

Lead and enhance the firm’s Complaint Management Program, across BD, RIA, and Insurance businesses
Oversee the complaint investigations, escalation, and resolution, directly handling high-risk matters
Ensure accurate application of FINRA problem/ product codes, and disclosure requirements
Manage Rule 4530 reporting, including quarterly 4530(d) filings and event-driven reporting
Develop reporting, controls and quality assurance processes to identify trends, identify emerging risks, and drive remediation
Implement improvements to increase program effectiveness, consistency, and scalability
Lead investigations into registered representatives and associated people’s conduct, sales practice and supervisory matters
Partner with Legal, Human Resources, and business leadership on escalation, resolution, and disciplinary outcomes
Support regulatory inquiries, responses, and disclosure obligations
Oversee Licensing & Registration to ensure accurate and timely regulatory filings and registration processes are executed accurately and in accordance with applicable requirements