Remote Compliance Leader - Broker-Dealer & RIA Programs

First Citizens Bank; Little Rock (AR); Remote; USD 115,000 - 130,000; Full time

Benefits offered by this job

Benefits package

Remote work flexibility

Job summary

First Citizens Bank is seeking a Compliance Officer for a remote role across the United States. You will lead and enhance the Broker-Dealer and RIA Compliance Program, overseeing supervisory procedures, communications review, branch inspections, and training.

The role requires hands-on compliance expertise with the ability to translate regulatory expectations into scalable processes, practical guidance, and strong supervisory practices across stakeholders.

Qualifications

• Bachelor's Degree with 6+ years in Compliance, Legal, Audit, Banking.
• FINRA Series 7, 24, and 63/65 or 66 licenses required or obtained shortly after hire.
• Strong working knowledge of FINRA and SEC rules for broker-dealer supervision.
• Experience administering Written Supervisory Procedures and governance programs.
• Experience reviewing communications, advertising, and marketing materials.
• Strong analytical, organizational, and documentation skills.
• Ability to translate regulatory requirements into practical business guidance.

Responsibilities

• Administer and update the Firm's Written Supervisory Procedure framework and RIA Compliance Manuals.
• Partner with stakeholders to reflect current practices and regulatory expectations.
• Evaluate changes to supervision procedures, controls, and obligations.
• Support annual supervisory control reviews and remediation activities.
• Assist in branch inspection planning, documentation, and remediation.
• Support inquiries, examinations, audits, and internal reviews as needed.
• Develop compliance training content and provide day-to-day guidance.
• Review broker-dealer advertising and communications for compliance.
• Identify cross-functional themes and systemic issues from reports.

Skills

Regulatory Compliance

Independence

Drives for Results

Process Improvement

Education

Bachelor's Degree with 6+ years

High School Diploma with 10+ years

Job description

First Citizens Bank is seeking a Compliance Officer for a remote role across the United States. You will lead and enhance the Broker-Dealer and RIA Compliance Program, overseeing supervisory procedures, communications review, branch inspections, and training.

The role requires hands-on compliance expertise with the ability to translate regulatory expectations into scalable processes, practical guidance, and strong supervisory practices across stakeholders.