Senior Compliance Officer, Remote Surveillance

First Citizens Bank; Oregon; Hybrid; USD 115,000 - 130,000; Full time

Benefits offered by this job

Benefits package

Job summary

First Citizens Bank is seeking a Compliance Officer to join Wealth Compliance in a remote, national capacity. You will oversee the Firm's electronic communications surveillance program, review escalated communications, assess supervisory risk, and support off-channel governance.

The ideal candidate has broker-dealer or RIA compliance experience, strong investigative judgment, and the ability to independently evaluate complex conduct matters while collaborating with business and compliance

Qualifications

• Bachelor's degree required or equivalent experience in Compliance, Legal, or Audit.
• 9 years' experience with a High School Diploma or GED; FINRA Series 24 required.
• 3–5+ years in broker-dealer and/or RIA compliance, supervision, or risk.
• Experience conducting investigations, supervisory reviews, or surveillance reviews.
• Knowledge of FINRA Rules 2210 & 3110 and regulatory expectations.

Responsibilities

• Review escalated electronic communications and determine appropriate resolution.
• Support off-channel communications oversight and governance.
• Identify themes, control gaps, and supervisory concerns; elevate when needed.
• Assist with surveillance reporting, metrics, and risk-based reviews.
• Provide guidance on regulatory requirements and supervisory best practices.

Skills

Broker-dealer compliance

Regulatory oversight

Investigations

FINRA rules knowledge

Surveillance review

Written communication

Risk assessment

Global Relay familiarity

Education

Bachelor's Degree

High School Diploma or GED

Tools

Global Relay

Job description

First Citizens Bank is seeking a Compliance Officer to join Wealth Compliance in a remote, national capacity. You will oversee the Firm's electronic communications surveillance program, review escalated communications, assess supervisory risk, and support off-channel governance.

The ideal candidate has broker-dealer or RIA compliance experience, strong investigative judgment, and the ability to independently evaluate complex conduct matters while collaborating with business and compliance