Compliance Officer - Electronic Communications Surveillance (Remote)

First Citizens Bank; Oregon; Hybrid; USD 115,000 - 130,000; Full time

Benefits offered by this job

Benefits package

Job summary

First Citizens Bank is seeking a Compliance Officer to join Wealth Compliance in a remote, national capacity. You will oversee the Firm's electronic communications surveillance program, review escalated communications, assess supervisory risk, and support off-channel governance.

The ideal candidate has broker-dealer or RIA compliance experience, strong investigative judgment, and the ability to independently evaluate complex conduct matters while collaborating with business and compliance

Qualifications

• Bachelor's degree required or equivalent experience in Compliance, Legal, or Audit.
• 9 years' experience with a High School Diploma or GED; FINRA Series 24 required.
• 3–5+ years in broker-dealer and/or RIA compliance, supervision, or risk.
• Experience conducting investigations, supervisory reviews, or surveillance reviews.
• Knowledge of FINRA Rules 2210 & 3110 and regulatory expectations.

Responsibilities

• Review escalated electronic communications and determine appropriate resolution.
• Support off-channel communications oversight and governance.
• Identify themes, control gaps, and supervisory concerns; elevate when needed.
• Assist with surveillance reporting, metrics, and risk-based reviews.
• Provide guidance on regulatory requirements and supervisory best practices.

Skills

Broker-dealer compliance

Regulatory oversight

Investigations

FINRA rules knowledge

Surveillance review

Written communication

Risk assessment

Global Relay familiarity

Education

Bachelor's Degree

High School Diploma or GED

Tools

Global Relay

Job description

Overview

This is a remote role that may be hired in several markets across the United States.The Compliance Officer serves as a senior individual contributor within Wealth Compliance, providing regulatory oversight of the Firm's electronic communications surveillance program. The role is responsible for reviewing and investigating escalated communications, assessing conduct and supervisory risk, supporting off-channel communications oversight, and partnering with business and compliance leaders to identify emerging risks and trends.The ideal candidate is an experienced broker-dealer and/or RIA compliance professional who possesses strong supervisory judgment, investigative skills, and the ability to independently evaluate complex communications and sales practice matters.

Responsibilities & Qualifications

Duties & Responsibilities:

Electronic Communication Review Review and disposition escalated electronic communications identified through the Firm's surveillance program. Conduct deeper reviews into potentially inappropriate communications, sales practice concerns, conduct issues, and supervisory matters. Partner with field leaders, supervisory principals, and Compliance stakeholders to gather facts, assess risk, and determine appropriate resolution. Support oversight of off-channel communications submissions, including review of repatriated communications and identification of emerging risks and trends. Identify themes, control gaps, and supervisory concerns and elevate matters as appropriate. Assist with thematic reviews, branch inspection support, and other supervisory initiatives. Contribute to surveillance reporting, metrics, and management information. Support enhancement of surveillance lexicons, monitoring scenarios, procedures, and controls. Provide guidance regarding regulatory requirements applicable to electronic communications and supervision.

Qualifications: Bachelor's Degree and 5 years' experience OR High School Diploma or GED/Equivalent and 9 years' experience in Compliance, Legal, or Audit FINRA Series 24 license required 3-5+ years of broker-dealer and/or RIA compliance, supervision, or risk experience. Experience conducting investigations, supervisory reviews, or surveillance reviews. Working knowledge of FINRA communications and supervision requirements, including Rules 2210 and 3110. Strong analytical, organizational, and written communication skills. Ability to independently evaluate risk and exercise sound regulatory judgment.

Preferred Qualifications: Experience supporting electronic communications surveillance programs within a broker-dealer or dual registrant environment. Prior supervisory principal experience. Experience with Global Relay or similar communications surveillance platforms. Familiarity with off-channel communications governance and surveillance. Experience performing trend analysis, reporting, and risk assessments. Insurance Licensing/Life & Health experience.

Additional Information

This job posting is expected to remain active for 7 days from the initial posting date listed above. If it is necessary to extend this deadline, the posting will remain active as appropriate. Job postings may come down early due to business need or a high volume of applicants.

The base pay for this position is generally between $115,000 and $130,000. 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