Compliance Officer II - Asset Management and Capital Markets (Remote)

Overview

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

This position is responsible for executing the Institutional Asset Management and Capital Markets Compliance Program of the Bank, supporting broker dealer and registered investment adviser compliance program requirements. Maintains strong knowledge of new and existing regulations that impact enterprise activities in order to recommend necessary changes to mitigate compliance risk. Reviews business processes, procedures, and activities to identify risks and inefficiencies. Assists with internal and external audits. Implements new compliance policies, as appropriate. Serves as a liaison between corporate, legal, and business teams to identify and resolve complex issues.

Responsibilities

Compliance Improvement – Analyzes assigned Compliance program areas against regulatory requirements to identify gaps and enhancements as well as improvements to internal processes and systems. Writes, manages, and implements Compliance policies and procedures including Compliance Manuals, Written Supervisory Procedures, and Code of Ethics policies. Aids the development of products, monitoring routines and implementation of systems that support regulatory compliance. Communicates changes to business partners and supports implementation of necessary changes to impacted business areas. May assist special projects or related business initiatives. Create

and lead trainings on Compliance topics with the business and analyze existing training for improvements. Executes routines for assigned Compliance program areas with minimal supervision.

Business Support - Provide guidance to the business regarding compliance with applicable portions of Securities Act, Exchange Act, Advisers Act, and relevant FINRA regulations through formal and informal training and responses to ad-hoc requests through a variety of channels. Serves as a liaison between business units, examiners, regulators, auditors, legal and corporate compliance during compliance examinations. Supports execution of regulatory exams, audits, and tests, including responding to inquiries, providing documentation, coordinating reviews, and executing subsequent improvement plans. Supports the execution of annual Compliance Risk Assessment. Able to distill key Compliance requirements into straight forward, conversational language to ensure understanding of key requirements and actions.

Issue Management - Identifies, tracks, investigates, and resolves issues with support, which may involve system testing, development and testing new processes, remediation activities, or direct consumer complaints. Recommends process and operational improvements that enhance efficiencies and reduce risk. May provide technical support to business programs, systems, or vendors throughout daily activities.

Reporting – Support the development of Compliance reporting, including the identification of KPIs. Develops and prepares reports for Compliance and business management on results of compliance reviews, regulatory changes, trends, and regulatory changes. Conveys the necessary actions to fulfill regulatory requirements, enhance the culture of compliance, and communicates changes amongst work groups.

Compliance Expertise - Maintains a strong knowledge of current and changing FINRA and SEC laws, regulations, requirements as well as relevant policies

and procedures with a lens toward industry best practice. Maintain knowledge of regulatory trends and developments impacting business areas and develop guidance for business on impact. Serves as a resource to management and associates on compliance-related matters.

Qualifications

Bachelor's Degree and 4 years of experience in Compliance, Legal, Audit, Banking OR High School Diploma or GED and 8 years of experience in Compliance, Legal, Audit, Banking

Preferred Qualifications :

FINRA Series 7, 63, 79 and 24

Strong knowledge of FINRA rules as they pertain to broker dealers

Broker-Dealer Compliance experience

Project management, Lean, and / or Six Sigma experience

License or Certification Type : Certified Anti-Money Laundering Specialist (CAMS) Preferred, Certified Anti-Money Laundering and Fraud Professional (CAFP) Preferred, Certified Regulatory Compliance Manager (CRCM) Preferred, Certified Information Privacy Professional (CIPP) Preferred

This job posting is expected to remain active for 5 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 $88,000 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.

Company Description :

Founded in 1898 and headquartered in Raleigh, N.C., First Citizens Bank serves customers in 18 states and the District of Columbia. For over 100 years, customers have trusted First Citizens with their money … and their futures. Today, First Citizens is the largest family-controlled bank in the nation and the sixth-largest bank franchise headquartered in the Southeast with more than $30 billion in assets. We employ more than 6,000 associates who are focused on helping our customers achieve a lifetime of success. First Citizens operates more than 570 branches in Arizona, California, Colorado, District of Columbia, Florida, Georgia, Kansas, Maryland, New Mexico, Missouri, North Carolina, Oklahoma, Oregon, South Carolina, Tennessee, Texas, Virginia, Washington and West Virginia.

First Citizens Bank. Forever First®. Member FDIC.

Equal Opportunity / Affirmative Action Employer / Minority / Female / Disability / Veteran

If you need special assistance or an accommodation in applying for employment at First Citizens Bank, please contact our Human Resources department.