Compliance Officer – Electronic Communications Surveillance

🔥 4 minutes ago

🌲 North Carolina – Remote

🌲 North Carolina – Remote

💵 $115k - $130k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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First Citizens Bank

WebsiteLinkedInAll Job Openings

10,000+ employees

🏥 Healthcare

🏭 Manufacturing

📦 Logistics

💰 Post-IPO Debt on 2021-05

Healthcare • Manufacturing • Logistics

First Citizens Bank is a comprehensive financial institution offering a wide range of services to individuals, families, businesses, and nonprofits. Their offerings include personal and commercial banking services, loans, mortgages, investment solutions, and insurance products. Known for their commitment to customer service and financial expertise, the bank serves a variety of sectors including agribusiness, healthcare, and manufacturing, ensuring tailored financial solutions for their clients.

📋 Description

• 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

🎯 Requirements

• 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: experience supporting electronic communications surveillance programs within a broker-dealer or dual registrant environment • Preferred: prior supervisory principal experience • Preferred: experience with Global Relay or similar communications surveillance platforms • Preferred: familiarity with off-channel communications governance and surveillance • Preferred: experience performing trend analysis, reporting, and risk assessments • Preferred: insurance licensing/life & health experience

🏖️ Benefits

• Competitive, thoughtfully designed benefits program • Variable incentives, bonuses, benefits, and/or other awards may be included in total compensation

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