Remote Senior Compliance Investigator, E-Communications

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

Benefits offered by this job

Competitive benefits package

Bonus potential

Job summary

First Citizens Bank is seeking a Compliance Officer within Wealth Compliance. This is a remote role that may be filled across the United States.

You will oversee the firm's electronic communications surveillance, review escalated communications, assess supervisory risk, and partner with business and compliance leaders to identify emerging risks and trends. The ideal candidate brings broker-dealer or RIA compliance experience, strong investigative judgment, and the ability to independently

Qualifications

• Bachelor's Degree or 9 years' experience in Compliance, Legal, or Audit.
• FINRA Series 24 license required.
• 3-5+ years of broker-dealer and/or RIA compliance, supervision, or risk experience.
• Experience conducting investigations, supervisory reviews, or surveillance reviews.

Responsibilities

• Review and disposition escalated electronic communications identified through the Firm's surveillance program.
• Conduct deeper reviews into potentially inappropriate communications and supervisory matters.
• Partner with field leaders and Compliance stakeholders to gather facts and assess risk.
• Support oversight of off-channel communications submissions and identify emerging risks and trends.
• Identify themes, control gaps, and supervisory concerns and elevate matters as appropriate.
• Assist with thematic reviews and branch inspection support.
• Contribute to surveillance reporting and management information.

Skills

FINRA Series 24 license

Regulatory compliance

Investigations

Analytical skills

Education

Bachelor's Degree

High School Diploma or GED

Tools

Global Relay

Job description

First Citizens Bank is seeking a Compliance Officer within Wealth Compliance. This is a remote role that may be filled across the United States.

You will oversee the firm's electronic communications surveillance, review escalated communications, assess supervisory risk, and partner with business and compliance leaders to identify emerging risks and trends. The ideal candidate brings broker-dealer or RIA compliance experience, strong investigative judgment, and the ability to independently