Head of Trust & Broker-Dealer Compliance Testing (Hybrid)

First Citizens; Raleigh (NC); Hybrid; USD 155,000 - 210,000; Full time

Job summary

First Citizens Bank seeks a seasoned leader to head the Compliance Testing program across Trust, Fiduciary, Wealth Management, Investment Advisory, and Broker-Dealer lines. You will guide planning, execution, and reporting while ensuring controls meet regulatory expectations and enterprise policies.

You will partner with Legal, Risk Management, Internal Audit, and business leadership to advance testing quality, drive issue remediation, and support examinations.

Qualifications

• Bachelor's degree and 10 years' compliance or related experience.
• Alternative: High school diploma and 14 years' related experience.
• Experience leading multi-line compliance testing programs.
• Strong knowledge of securities rules and FINRA/SEC expectations.
• Certifications or licenses listed in the job description.

Responsibilities

• Lead planning, execution, and reporting of risk-based compliance testing across fiduciary, wealth, and broker-dealer lines.
• Develop annual and periodic testing plans based on regulatory risk assessments and changes.
• Ensure testing evaluates control design/effectiveness and adherence to laws.
• Provide credible challenge to stakeholders on risks, observations, and remediation.
• Oversee remediation and support regulatory examinations and reviews.

Skills

Regulatory compliance leadership

Regulatory risk management

Cross-functional collaboration

Regulatory knowledge (FINRA/SEC)

Stakeholder communication

Education

Bachelor's Degree

High School Diploma

Job description

First Citizens Bank seeks a seasoned leader to head the Compliance Testing program across Trust, Fiduciary, Wealth Management, Investment Advisory, and Broker-Dealer lines. You will guide planning, execution, and reporting while ensuring controls meet regulatory expectations and enterprise policies.

You will partner with Legal, Risk Management, Internal Audit, and business leadership to advance testing quality, drive issue remediation, and support examinations.