Remote Compliance Officer – Broker-Dealer & RIA

First Citizens; Raleigh (NC); Remote; USD 115,000 - 130,000; Full time

Job summary

First Citizens Bank is seeking a seasoned Compliance Officer to lead the Broker-Dealer and RIA compliance programs in a remote, nationwide role across the United States. You will administer written supervisory procedures, oversee branch inspections, and develop training and advisory guidance for supervisory personnel and business partners.

You will partner with stakeholders to translate regulatory expectations into scalable processes, deliver practical guidance, and strengthen the firm’s control

Qualifications

• Bachelor's Degree with 6 years’ compliance, legal, audit, or banking experience.
• 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, correspondence, and marketing materials.
• Excellent analytical, organizational, and documentation skills.
• Ability to communicate complex regulatory requirements and provide practical guidance.

Responsibilities

• Administer and update the Firm's Written Supervisory Procedure framework and RIA Compliance Manuals.
• Partner with business stakeholders to reflect current practices and regulatory expectations.
• Evaluate changes to identify impacts on supervisory procedures and obligations.
• Support annual supervisory control and compliance program reviews.
• Support branch inspection program planning, documentation, issue tracking, and remediation.
• Assist in regulatory inquiries, examinations, audits, and internal reviews.
• Contribute to supervisory control enhancements and other initiatives.

Skills

Intellectual Curiosity

Regulatory Compliance

Independence

Drives for Results

Process Improvement

Education

Bachelor's Degree and 6 years' experience

High School Diploma / GED with 10 years' experience

Tools

FINRA Licenses (7, 24, 63/65 or 66)

Job description

First Citizens Bank is seeking a seasoned Compliance Officer to lead the Broker-Dealer and RIA compliance programs in a remote, nationwide role across the United States. You will administer written supervisory procedures, oversee branch inspections, and develop training and advisory guidance for supervisory personnel and business partners.

You will partner with stakeholders to translate regulatory expectations into scalable processes, deliver practical guidance, and strengthen the firm’s control