Remote Senior Compliance Leader - Asset Management & Capital Markets

First Citizens Bank; Raleigh (NC); Remote; USD 150,000 - 175,000; Full time

Job summary

First Citizens Bank seeks a senior Compliance Advisor to lead regulatory risk for private investments, private placements, and capital raising. You will partner with business leaders to support growth while ensuring adherence to regulations and firm standards.

You will deliver practical, risk-based guidance, review materials, and oversee program enhancements, with a focus on trusted advisory work and cross-functional collaboration across the bank’s portfolios.

Qualifications

• Strong working knowledge of the Investment Advisers Act of 1940, SEC Marketing Rule, FINRA rules.
• Experience providing compliance advisory support to an asset manager.
• Excellent written and verbal communication skills.
• Strong analytical, organizational, and problem-solving skills.
• Demonstrated ability to exercise sound judgment and provide risk-based recommendations.
• Proven ability to manage multiple priorities and deadlines.
• Ability to work independently and collaboratively with cross-functional teams.
• FINRA Series 7 & 24 licenses.

Responsibilities

• Serve as the primary compliance advisor for private investments, private placement engagements, capital raising activities, and related strategic initiatives.
• Partner closely with business leaders and key stakeholders to support strategic growth opportunities while ensuring activities remain aligned with regulatory obligations and firm standards.
• Deliver timely, practical, and risk-based compliance guidance that enables informed business decisions and effective resolution of complex compliance matters.
• Act as a trusted advisor by balancing regulatory expectations with business objectives and operational realities.
• Identify, assess, and escalating conflicts of interest, confidentiality concerns, nonpublic information risks, and other transaction-related compliance issues to the Chief Compliance Officer as appropriate.
• Review pitchbooks, teasers, management presentations, and other transaction or marketing materials to ensure compliance with applicable regulations and firm policies.
• Provide compliance oversight of portfolio management activities to help ensure consistency with client mandates, disclosed objectives, contractual requirements, and regulatory obligations.
• Oversee compliance reviews involving best execution, trade allocation and aggregation practices, and conflict-of-interest management.
• Maintain and strengthen compliance program policies, procedures, Written Supervisory Procedures, and Codes of Ethics.
• Evaluate regulatory developments and implement appropriate program enhancements.
• Assess existing compliance frameworks, identify gaps, and implement scalable control solutions.
• Lead corrective action initiatives designed to address complex compliance issues and strengthen program effectiveness.
• Participate in compliance risk assessments and lead monitoring, surveillance, and testing activities.
• Lead internal compliance testing and audit activities.
• Support the CCO in regulatory examinations, inquiries, investigations, and other complex regulatory matters.
• Contribute to new product and service initiatives and other strategic programs that support organizational growth.
• Participate in special projects and perform additional responsibilities as assigned.

Skills

Regulatory knowledge

Compliance advisory

Investment management

Communication skills

Analytical skills

Cross-functional teamwork

FINRA licenses

Project leadership

Education

Bachelor's degree

High School Diploma or GED

Job description

First Citizens Bank seeks a senior Compliance Advisor to lead regulatory risk for private investments, private placements, and capital raising. You will partner with business leaders to support growth while ensuring adherence to regulations and firm standards.

You will deliver practical, risk-based guidance, review materials, and oversee program enhancements, with a focus on trusted advisory work and cross-functional collaboration across the bank’s portfolios.