Remote Senior Compliance Analyst - Communications Surveillance

First Citizens; Raleigh (NC); Hybrid; USD 90,000 - 120,000; Full time

Job summary

First Citizens Bank is seeking a Senior Compliance Analyst to support the electronic communications surveillance program nationwide. The role collaborates with Compliance and business stakeholders to supervise communications across the Firm, with a focus on risk management and regulatory compliance.

The ideal candidate has broker-dealer or RIA experience, strong attention to detail, and a client-focused approach to escalation, investigation support, and trend analysis in a fast-paced environment.

Qualifications

• Bachelor's Degree and 4 years' experience OR High School Diploma or GED/Equivalent and 8 years' experience in Analytics, Financial Compliance/Regulatory environment
• FINRA Series 24 license required
• 1-3 years BD and/or RIA experience, ideally within supervision or Compliance
• Basic understanding of securities industry regulations and supervisory concepts
• Strong organizational, analytical, and communication skills
• Ability to manage competing priorities in a fast-paced environment
• Broker-dealer or RIA compliance experience (preferred)
• Experience reviewing electronic communications, account activity, correspondence, or supervisory exceptions (preferred)
• Familiarity with FINRA Rules 2210 and 3110 (preferred)
• Experience using surveillance, case management, or workflow platforms (preferred)
• Insurance Licensing/Life & Health experience (preferred)
• Interest in pursuing a long-term career in compliance, supervision, and regulatory risk management (preferred)
• Insurance Licensing/Life & Health experience (preferred)

Responsibilities

• Review escalated electronic communications generated through the Firm's surveillance program
• Document review findings, investigative steps, and disposition decisions
• Escalate potentially inappropriate communications, conduct concerns, and supervisory issues
• Support reviews related to off-channel communications and repatriated communication records
• Assist with thematic reviews, surveillance projects, and branch inspection support
• Participate in trend analysis, reporting, and metric development
• Support surveillance reconciliation, quality assurance, and documentation processes
• Maintain accurate records and case documentation in accordance with Firm requirements

Skills

Analytical skills

Communication skills

Organizational skills

Education

Bachelor's Degree + 4 years experience

Job description

First Citizens Bank is seeking a Senior Compliance Analyst to support the electronic communications surveillance program nationwide. The role collaborates with Compliance and business stakeholders to supervise communications across the Firm, with a focus on risk management and regulatory compliance.

The ideal candidate has broker-dealer or RIA experience, strong attention to detail, and a client-focused approach to escalation, investigation support, and trend analysis in a fast-paced environment.