Compliance Officer - Electronic Communications Surveillance (Remote)

The role is responsible for reviewing and investigating escalated communications, assessing conduct and supervisory risk, supporting off-channel communications oversight, and partnering with business and compliance leaders to identify emerging risks and trends. The ideal candidate is an experienced broker-dealer and/or RIA compliance professional who possesses strong supervisory judgment, investigative skills, and the ability to independently evaluate complex communications and sales practice matters.

Overview:

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

 

The Compliance Officer serves as a senior individual contributor within Wealth Compliance, providing regulatory oversight of the Firm's electronic communications surveillance program. The role is responsible for reviewing and investigating escalated communications, assessing conduct and supervisory risk, supporting off-channel communications oversight, and partnering with business and compliance leaders to identify emerging risks and trends.

The ideal candidate is an experienced broker-dealer and/or RIA compliance professional who possesses strong supervisory judgment, investigative skills, and the ability to independently evaluate complex communications and sales practice matters.

Responsibilities & Qualifications:

Duties & Responsibilities:

• Electronic Communication Review
• Review and disposition escalated electronic communications identified through the Firm's surveillance program.
• Conduct deeper reviews into potentially inappropriate communications, sales practice concerns, conduct issues, and supervisory matters.
• Partner with field leaders, supervisory principals, and Compliance stakeholders to gather facts, assess risk, and determine appropriate resolution.
• Support oversight of off-channel communications submissions, including review of repatriated communications and identification of emerging risks and trends.
• Identify themes, control gaps, and supervisory concerns and escalate matters as appropriate.
• Assist with thematic reviews, branch inspection support, and other supervisory initiatives.
• Contribute to surveillance reporting, metrics, and management information.
• Support enhancement of surveillance lexicons, monitoring scenarios, procedures, and controls.
• Provide guidance regarding regulatory requirements applicable to electronic communications and supervision.

Qualifications:

• Bachelor's Degree and 5 years' experience OR High School Diploma or GED/Equivalent and 9 years' experience in Compliance, Legal, or Audit
• FINRA Series 24 license required
• 3-5+ years of broker-dealer and/or RIA compliance, supervision, or risk experience.
• Experience conducting investigations, supervisory reviews, or surveillance reviews.
• Working knowledge of FINRA communications and supervision requirements, including Rules 2210 and 3110.
• Strong analytical, organizational, and written communication skills.
• Ability to independently evaluate risk and exercise sound regulatory judgment.

 

Preferred Qualifications:

• Experience supporting electronic communications surveillance programs within a broker-dealer or dual registrant environment.
• Prior supervisory principal experience.
• Experience with Global Relay or similar communications surveillance platforms.
• Familiarity with off-channel communications governance and surveillance.
• Experience performing trend analysis, reporting, and risk assessments.
• 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 $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.