Senior Compliance Analyst - Investor Services (Remote)

First Citizens; Raleigh (NC); Remote; USD 80,000 - 100,000; Full time

Job summary

An established industry player is seeking a Compliance Analyst to provide expert support for compliance efforts through detailed analysis and reporting. In this remote role, you will lead investigations into unusual activities, ensuring adherence to regulations while mentoring less experienced analysts. Your expertise will help enhance internal controls and improve operational performance. This position offers an exciting opportunity to engage with industry standards and make a significant impact on compliance initiatives. Join a forward-thinking organization that values your contributions and provides a comprehensive benefits program tailored to support your needs.

Benefits

Comprehensive benefits program

Flexible working hours

Support for families

Professional development opportunities

Qualifications

• 4 years of experience in Analytics or Financial Compliance.
• Valid FINRA Series 7 & 24 required.

Responsibilities

• Leads compliance reviews and regulatory exams.
• Analyzes data for discrepancies and risks.
• Provides training and expertise for complex issues.

Skills

Data Analysis

Financial Compliance

Risk Identification

Regulatory Knowledge

Education

Bachelor's Degree in relevant field

High School Diploma or GED

Job description

Overview

This position provides complex support for compliance efforts through analysis, reporting, and risk identification for the Broker Dealer and Investment Advisers. Maintains an expert knowledge of new and existing laws that impact enterprise activities in order to identify risks. Reports on analysis results and operational performance to assist management with strategic enhancements. Recommends and implements process or system enhancements that improve internal controls. Facilitates the security and integrity of investment activities by ensuring compliance with all applicable rules, regulations, and standards. Provides a leadership role for less experienced analysts in the work group and leads special projects.

This is a remote role that may be hired in several markets across the United States.

Responsibilities

• Business Support - Provides leadership and oversight of daily workload for the work group. Serves as first resource and point of escalation for regulatory exams, audits, risk assessments, and other related projects. Identifies and recommends process improvements. May perform system testing or maintenance.
• Compliance Review - Leads the research and investigation of unusual activity or flagged documentation, processes, and transactions. Ensure compliance with applicable laws, regulations, policies, and procedures. Resolves issues, clears exceptions, or escalates as appropriate.
• Data Analysis - Sources, validates, and interprets data. Analyzes data for discrepancies and risks, effectively communicates analysis output. May assist with larger data management efforts.
• Compliance Expertise - Maintains knowledge of laws, regulations, procedures, and policies that affect the assigned business area through ongoing research and industry involvement. Acts as a resource to less experienced associates, providing training and expertise for complex issues. May participate in industry events, form partnerships with other professionals, or seek additional training to remain current on evolving issues. May update policies and procedures as appropriate.
• Documentation - Compiles all relevant business, process, or user information prior to compliance reviews. Ensures the accuracy, compliance, and completeness of required documentation. Maintains and updates files for the business unit. Produces reports for management on risks, trends, exceptions, and areas of improvement.

Qualifications

• Bachelor's Degree and 4 years of experience in Analytics, Financial Compliance/Regulatory environment OR High School Diploma or GED and 8 years of experience in Analytics, Financial Compliance/Regulatory environment
• Valid FINRA Series 7 & 24

Preferred Qualifications

• FINRA Series 63, 65 or 66

This job posting is expected to remain active for 5 days from the initial posting date listed above. If it is necessary to extend this deadline, the posting will remain active as appropriate. Job postings may come down early due to business need or a high volume of applicants.

The base pay for this position is generally between $80,000 and $100,000. Actual starting base pay will be determined based on skills, experience, location, and other non-discriminatory factors permitted by law. For some roles, total compensation may also include variable incentives, bonuses, benefits, and/or other awards as outlined in the offer of employment.

First Citizens benefits programs are designed to meet our associates where they are in life. Full-time associates (20+ hours) are offered a comprehensive benefits program, with customized offerings, including those designed to support families, however defined. More information regarding our benefits offerings can be found here: https://jobs.firstcitizens.com/benefits