Compliance Officer II - Investor Services (Remote)

First Citizens Bank; Raleigh (NC); Remote; USD 94,000 - 150,000; Full time

Job summary

First Citizens Bank seeks a Compliance Officer II for its Investor Services division, responsible for risk management and compliance program execution. This remote role requires extensive knowledge of regulatory requirements and involves close collaboration with compliance teams and business leaders to implement necessary changes. Qualified candidates should possess significant experience in compliance-related fields and relevant certifications.

Qualifications

• 6 years of experience in Compliance, Legal, Audit, Banking.
• 10 years of experience with High School Diploma.
• Preferred licenses: Series 7, 24, 63, 65 or 66.

Responsibilities

• Develop and execute the Compliance Risk Management Program.
• Serve as the liaison during compliance examinations.
• Analyze and improve existing compliance policies and procedures.

Skills

Compliance

Legal

Audit

Education

Bachelor's Degree

High School Diploma or GED

Job description

Compliance Officer II - Investor Services (Remote)

Compliance Officer II - Investor Services (Remote)

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Overview

This position is responsible for developing and executing the Compliance Risk Management Program of the Bank’s registered investment adviser and broker-dealer subsidiaries, which includes implementation of complex regulatory requirements that impact multiple systems, processes, and clients. Maintains detailed knowledge of new and existing rules, regulations, and laws that impact enterprise activities and identifies strategies and efficiencies to mitigate compliance risk. Works closely with CCO, compliance staff and business leaders to provide consultative guidance and direction throughout implemented changes.

Overview

This position is responsible for developing and executing the Compliance Risk Management Program of the Bank’s registered investment adviser and broker-dealer subsidiaries, which includes implementation of complex regulatory requirements that impact multiple systems, processes, and clients. Maintains detailed knowledge of new and existing rules, regulations, and laws that impact enterprise activities and identifies strategies and efficiencies to mitigate compliance risk. Works closely with CCO, compliance staff and business leaders to provide consultative guidance and direction throughout implemented changes.

This is a remote role that may be hired in several markets across the United States.

Responsibilities

• Compliance Improvement - Serves as a subject matter expert with an emphasis on FINRA and SEC new or existing laws, rules and regulations which are complex and multi-layered. Communicates changes to business partners and supports implementation of necessary changes to impacted business areas.
• Business Support - Serves as a liaison between the business units and examiners, regulators, auditors, legal and corporate compliance during compliance examinations. Analyzes existing policies, procedures and controls to identify compliance gaps and improvements. Provides guidance on complex and emerging compliance risk scenarios.
• Reporting - Develops reports for management and executive committees on results of compliance reviews, legal changes, or new regulations. Conveys the necessary actions to fulfill regulatory requirements and communicates changes amongst work groups.
• Compliance Expertise - Maintains expertise and stays updated about current or changing laws, regulations, requirements, policies, and procedures that affect assigned area of the Bank. Serves as a resource to management and business unit leaders on compliance-related matters.
  
  

Qualifications

• Bachelor's Degree and 6 years of experience in Compliance, Legal, Audit, Banking OR High School Diploma or GED and 10 years of experience in Compliance, Legal, Audit, Banking
  
  

Preferred Qualifications

• Valid Series 7, 24 & 63, 65 or 66 licenses
  
  

This job posting is expected to remain active for 5 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 $94,000 and $150,000. 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.

First Citizens benefits programs are designed to meet our associates where they are in life. Full-time associates (20+ hours) are offered a comprehensive benefits program, with customized offerings, including those designed to support families, however defined. More information regarding our benefits offerings can be found here: https://jobs.firstcitizens.com/benefits

Seniority level

• Seniority level

  Not Applicable

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Banking and Financial Services

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