Senior Compliance & Surveillance Analyst – Remote

First Citizens Bank; Oregon; Hybrid; USD 90,000 - 120,000; Full time

Benefits offered by this job

Benefits program

Job summary

First Citizens Bank is seeking a Senior Compliance Analyst to support the electronic communications surveillance program across the United States. The role collaborates with Compliance and business teams to supervise communications, investigate escalations, and identify regulatory risks.

Ideal candidates have broker-dealer or RIA experience, strong attention to detail, and a drive to advance in compliance supervision.

Qualifications

• Bachelor's degree with 4 years' analytics or regulatory experience, or a high school diploma with 8 years in analytics/regulatory environments.
• FINRA Series 24 license is required.
• Experience in broker-dealer and/or RIA supervision or compliance preferred.

Responsibilities

• Review electronic communications as part of the surveillance program.
• Document review findings and disposition decisions.
• Escalate concerns and supervisory issues as needed.
• Support reviews of off-channel communications and repatriated records.
• Assist with trend analysis, reporting, and metric development.
• Maintain accurate case records per firm requirements.

Skills

Analytical skills

Regulatory compliance

Documentation

Education

Bachelor's Degree

High School Diploma or GED

Job description

First Citizens Bank is seeking a Senior Compliance Analyst to support the electronic communications surveillance program across the United States. The role collaborates with Compliance and business teams to supervise communications, investigate escalations, and identify regulatory risks.

Ideal candidates have broker-dealer or RIA experience, strong attention to detail, and a drive to advance in compliance supervision.