Senior Compliance Lead: Asset Management & Capital Markets

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

Job summary

First Citizens is seeking a Senior Compliance Officer to lead and advance the firm’s compliance programs for private investments and broker-dealer/investment adviser activities. The role emphasizes risk-based guidance, collaboration with leadership, and strong regulatory knowledge in a fast-paced environment.

The position supports strategic initiatives, program enhancements, and regulatory examinations, with a focus on robust governance and scalable controls across risk assessments, policies,

Qualifications

• Strong working knowledge of the Investment Advisers Act of 1940, SEC Marketing Rule, FINRA rules and related regulatory guidance.
• Experience providing compliance advisory support to an asset manager engaged in private investments.
• Excellent written and verbal communication skills.
• Strong analytical, organizational, and problem-solving skills.
• Ability to manage multiple priorities and deadlines.

Responsibilities

• Provide compliance advisory for private investments, private placements, capital raising activities and related strategic initiatives.
• Partner with business leaders to support growth while maintaining regulatory obligations.
• Deliver practical, risk-based compliance guidance to enable informed decisions.
• Balance regulatory expectations with business objectives and operational realities.
• Identify and escalate conflicts of interest and information security risks to the CCO.

Skills

Investment Advisers Act knowledge

SEC Marketing Rule knowledge

FINRA rules knowledge

Compliance advisory

Strong communication

Education

Bachelor's Degree + 8 years experience

High School Diploma + 12 years experience

Job description

First Citizens is seeking a Senior Compliance Officer to lead and advance the firm’s compliance programs for private investments and broker-dealer/investment adviser activities. The role emphasizes risk-based guidance, collaboration with leadership, and strong regulatory knowledge in a fast-paced environment.

The position supports strategic initiatives, program enhancements, and regulatory examinations, with a focus on robust governance and scalable controls across risk assessments, policies,