Senior Compliance Officer - Broker Dealer/RIA (Remote)
First Citizens Bank · NCTELE-North Carolina - Remote · remote
Overview
This is a remote role that may be hired in several markets across the United States.
The Senior Compliance Officer will provide senior-level compliance expertise across broker-dealer and RIA communications, complaint management, and complex representative investigations.
This role is responsible for oversight of Communications with the Public and Advertising review, advancement of the Firm's complaint management framework, and leadership of complex representative investigations and disciplinary matters.
The position combines regulatory expertise, risk assessment, and hands-on execution. The Senior Compliance Officer reviews and advises on advertising and communications, helps support the Firm's complaint management program, conducts complex investigations, and partners with business and compliance leadership in evaluating conduct, supervisory, and regulatory risk.
The ideal candidate is a seasoned compliance professional with significant broker-dealer experience and demonstrated expertise in complaint management and investigations. They should also have prior experience in performing communications with the public and advertising review in both broker dealer and RIA environments. Strong knowledge of FINRA Rule 4530 specific to disclosure obligations is essential.
Responsibilities & Qualifications
Duties & Responsibilities:
Communications with the Public & Advertising
- Review and provide regulatory guidance on broker-dealer communications with the public and RIA advertising and marketing materials, including client-facing communications, presentations, and sales materials.
- Apply FINRA, SEC and Firm requirements and provide practical guidance to business partners and Compliance colleagues.
- Identify recurring issues, emerging risks, and opportunities to enhance communications review standards, workflows, documentation, and supervisory controls.
- Partner with Compliance, Legal, the business, and supervisory principals on complex or higher-risk communications and advertising matters.
Complaint Program Support
- Support the Senior Compliance Manager assigned to the Complaint Program in the continued build and enhancement of the Firm’s complaint management framework, including intake, referral, investigations, escalation, documentation, tracking, reporting and governance.
- Sever as a subject matter resource to teams responsible for complaint reviews, including support for complex or higher-risk complaints and deeper investigative reviews as needed.
- Conduct complaint reviews as assigned by the Senior Compliance Manager, to ensure timely reviews of Firm complaints
- Support regulatory inquiries, responses, and disclosure obligations
Representative Investigations & Disciplinary Action Processes
- Support and conduct investigations involving registered representatives and other associated persons, including policy violations, supervisory matters, and sales practice concerns.
- Help administer the Firm’s disciplinary action process, ensuring matters are appropriately tracked, reviewed and documented.
- Perform deeper investigative reviews as needed and prepare clear, objective summaries of relevant facts, findings, and regulatory considerations for the relevant supervisory principals and the Firm’s working group.
- Promote consistency in evaluation, documentation, and presentation of representative conduct matters.
- Identify regulatory disclosure, reporting, and other requirements.
Position Specific Skills:
- Regulatory Compliance
- Risk Identification
- Critical thinking skills
- Partnerships and collaboration
- Demonstrates Courage
Qualifications:
- Bachelor's Degree and 7 years' experience OR High School Diploma or GED/Equivalent and 11 years' experience in Compliance, Legal, or Audit
- 7+ years of broker-dealer and/or RIA compliance experience.
- Strong experience in complaints, investigations, and regulatory reporting
- Deep knowledge of FINRA rules, including Rule 4530, and applicable FINRA and SEC requirements around communications with the public and advertising.
- Proven leadership and ability to manage complex regulatory matters
- FINRA Series 7, 24, and 63/65 or 66 licenses (or ability to obtain shortly after hire).
Preferred Qualifications:
- Experienced in a large, dual-registrant financial institution
- Experience reviewing advertising and communications that reference and market integrated trust, broker-dealer, and registered investment adviser (RIA) services and solutions.
- Strong investigative, risk assessment, and escalation skills
- Executive communication and stakeholder management expertise
- Insurance Licensing/Life & Health experience
Additional Information
This job posting is expected to remain active for 7 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 $160,000 and $175,000. 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.
Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits.