Senior Compliance Analyst - Investor Services (Remote)

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

Job summary

An established industry player is seeking a Senior Compliance Analyst to drive compliance efforts through detailed analysis and reporting. This remote role offers the opportunity to lead projects and provide guidance to junior analysts while ensuring adherence to regulations impacting investment activities. You will leverage your expertise to identify risks and recommend process enhancements, contributing to strategic improvements within the organization. Join a dynamic team that values comprehensive compliance and offers competitive compensation as well as robust benefits to support various life stages.

Qualifications

• 4+ years in Analytics or Financial Compliance/Regulatory environment.
• Valid FINRA Series 7 & 24 licenses required.

Responsibilities

• Provides leadership and oversight of daily workload.
• Leads research and investigation of unusual activity or flagged documentation.
• Sources, validates, and interprets data for discrepancies and risks.

Skills

Analytical Skills

Financial Compliance

Risk Identification

Data Analysis

Education

Bachelor's Degree

High School Diploma/GED

Job description

Senior Compliance Analyst - Investor Services (Remote)

Join to apply for the Senior Compliance Analyst - Investor Services (Remote) role at First Citizens Bank.

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 laws impacting enterprise activities to identify risks. Reports on analysis results and operational performance to assist management with strategic improvements. Recommends and implements process or system enhancements to improve internal controls. Ensures the security and integrity of investment activities by ensuring compliance with all applicable rules, regulations, and standards. Provides leadership for less experienced analysts and leads special projects.

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

Responsibilities

1. Business Support: Provides leadership and oversight of daily workload. Serves as a primary resource and escalation point for regulatory exams, audits, risk assessments, and related projects. Identifies and recommends process improvements. May perform system testing or maintenance.
2. Compliance Review: Leads research and investigation of unusual activity or flagged documentation, processes, and transactions. Ensures compliance with laws, regulations, policies, and procedures. Resolves issues, clears exceptions, or escalates as needed.
3. Data Analysis: Sources, validates, and interprets data. Analyzes for discrepancies and risks, and communicates findings effectively. May assist with larger data management efforts.
4. Compliance Expertise: Maintains knowledge of relevant laws, regulations, and policies through ongoing research. Acts as a resource to less experienced staff, providing training and expertise. Participates in industry events and updates policies as appropriate.
5. Documentation: Prepares all relevant business, process, or user information for reviews. Ensures accuracy and completeness of documentation. Maintains and updates files. Produces reports on risks, trends, and areas for improvement.

Qualifications

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

Preferred Qualifications

• FINRA Series 63, 65, or 66 licenses.

The position offers a salary range of $80,000 to $100,000, with actual compensation based on skills, experience, and location. Benefits include comprehensive programs supporting various life stages. More details at https://jobs.firstcitizens.com/benefits.