Senior Compliance Analyst - Electronic Communications Surveillance (Remote)

Overview

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

The Senior Compliance Analyst supports the Firm's electronic communications surveillance program through review of escalated communications, investigation support, risk identification, and surveillance administration activities. The role partners with Compliance and business stakeholders to support timely and effective supervision of electronic communications across the Firm.

The ideal candidate has broker-dealer and/or RIA industry experience, strong attention to detail, and an interest in developing expertise in compliance supervision and regulatory risk management.

Responsibilities & Qualifications

• Duties & Responsibilities: Electronic Communication Review
• 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.
• Required Qualifications: 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.

Preferred Qualifications:

• Broker-dealer or RIA compliance experience.
• Experience reviewing electronic communications, account activity, correspondence, or supervisory exceptions.
• Familiarity with FINRA Rules 2210 and 3110.
• Experience using surveillance, case management, or workflow platforms.
• Insurance Licensing/Life & Health experience.
• Interest in pursuing a long-term career in compliance, supervision, and regulatory risk management.
• 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 $90,000 and $120,000. 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.

Responsibilities

• Duties & Responsibilities: Electronic Communication Review
• 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.
• Required Qualifications: 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.

Preferred Qualifications:

• Broker-dealer or RIA compliance experience.
• Experience reviewing electronic communications, account activity, correspondence, or supervisory exceptions.
• Familiarity with FINRA Rules 2210 and 3110.
• Experience using surveillance, case management, or workflow platforms.
• Insurance Licensing/Life & Health experience.
• Interest in pursuing a long-term career in compliance, supervision, and regulatory risk management.
• Insurance Licensing/Life & Health experience.

Qualifications

• 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 $90,000 and $120,000. 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.