Compliance Officer - Broker Dealer & RIA (Remote)

This role offers a unique opportunity to work across multiple core supervisory functions, providing broad exposure to policy governance, communications review, branch oversight, regulatory implementation, and compliance program development. This position will support and strengthen the Firm’s broker-dealer compliance program, with responsibilities spanning written supervisory procedures, communications review, branch inspections, and compliance training.

Overview:

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

 

The Compliance Officer will play a key role in the administration and ongoing enhancement of the Firm's Broker-Dealer and RIA Compliance Program. This position will support and strengthen the Firm’s broker-dealer compliance program, with responsibilities spanning written supervisory procedures, communications review, branch inspections, and compliance training.

 

This role offers a unique opportunity to work across multiple core supervisory functions, providing broad exposure to policy governance, communications review, branch oversight, regulatory implementation, and compliance program development.

 

Candidates will have the opportunity to influence key compliance initiatives while partnering closely with stakeholders across the Firm to strengthen supervisory practices and support business growth. The ideal candidate is a hands-on compliance professional with strong compliance expertise who can translate regulatory expectations into scalable processes, meaningful guidance, and effective supervisory practices.  

Responsibilities & Qualifications:

Duties & Responsibilities:

Policy and Procedure Administration

• Administer and update the Firm's Written Supervisory Procedure framework and RIA Compliance Manuals
• Partner with business stakeholders to ensure supervisory procedures accurately reflect current business practices and regulatory expectations.
• Evaluate business, product, and process changes to identify impacts on supervisory procedures, controls, and regulatory obligations.
• Support annual supervisory control and compliance program reviews, including related documentation and remediation activities.

Branch Inspection & Supervisory Program Support

• Support the Firm's branch inspection program, including planning, documentation, issue tracking, and remediation activities.
• Support regulatory inquiries, examinations, audits, and internal reviews as needed.
• Contribute to supervisory control enhancements and other compliance initiatives designed to strengthen the Firm's control environment. 

Compliance Training & Advisory

• Assist in the development of compliance and supervisory training programs and content.
• Provide day-to-day compliance guidance to supervisory personnel and business partners.
• Contribute to broader compliance projects and program enhancement initiatives as needed.
• Identify and escalate cross-functional themes and systemic issues based on consolidated reporting 

Communication with the Public Review

• Review and approve broker-dealer advertising, sales literature, retail communications, correspondence, and other communications with the public for compliance with regulatory requirements and Firm standards.
• Provide practical guidance to business partners regarding advertising, marketing, and communication-related regulatory obligations.

 

Skills:

• Intellectual Curiosity
• Regulatory Compliance
• Independence
• Drives for Results
• Process Improvement

 

Qualifications:

• Bachelor's Degree and 6 years' experience OR High School Diploma or GED/Equivalent and 10 years' experience in Compliance, Legal, Audit, Banking
• FINRA Series 7, 24, and 63/65 or 66 licenses required (or obtained shortly after hire)
• Strong working knowledge of FINRA and SEC rules applicable to broker-dealer supervisory programs.
• Experience administering Written Supervisory Procedures and supervisory governance programs.
• Experience reviewing communications, advertising, correspondence, sales literature, and marketing materials.
• Strong analytical, organizational, and documentation skills.
• Ability to communicate complex regulatory requirements effectively and provide practical business guidance.

 

Preferred Qualifications:

• Experience supporting broker-dealer branch examination programs.
• Experience developing or delivering compliance and supervisory training.
• Experience within a bank-affiliated broker-dealer or large financial institution.
• Additional FINRA registrations.
• Strong project management, relationship management, and advisory skills.

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 $115,000 and $130,000. 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.