Senior Compliance Analyst – Electronic Communications Surveillance

🔥 4 minutes ago

🌲 North Carolina – Remote

🌲 North Carolina – Remote

💵 $90k - $120k / year

⏰ Full Time

🟠 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 escalated electronic communications generated through the Firm's surveillance program • Document review findings, investigative steps, and disposition decisions • Escalate potentially inappropriate communications, conduct concerns, and supervisory issues • Support reviews related to off-channel communications and repatriated communication records • Assist with thematic reviews, surveillance projects, and branch inspection support • Participate in trend analysis, reporting, and metric development • Support surveillance reconciliation, quality assurance, and documentation processes • Maintain accurate records and case documentation in accordance with Firm requirements • Partner with Compliance and business stakeholders to support timely and effective supervision of electronic communications across the Firm

🎯 Requirements

• Bachelor's Degree and 4 years' experience OR High School Diploma or GED/Equivalent and 8 years' experience in Analytics, Financial Compliance/Regulatory environment • FINRA Series 24 license required • 1-3 years BD and/or RIA experience, ideally within supervision or Compliance • Basic understanding of securities industry regulations and supervisory concepts • Strong organizational, analytical, and communication skills • Ability to manage competing priorities in a fast-paced environment • Broker-dealer or RIA compliance experience preferred • Experience reviewing electronic communications, account activity, correspondence, or supervisory exceptions preferred • Familiarity with FINRA Rules 2210 and 3110 preferred • Experience using surveillance, case management, or workflow platforms preferred • Insurance Licensing/Life & Health experience preferred • Interest in pursuing a long-term career in compliance, supervision, and regulatory risk management

🏖️ Benefits

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

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