OverviewThis is a remote role that may be hired in several markets across the United States.
The Compliance Manager is a senior leader within Compliance, responsible for oversight of the firm's Broker-Dealer and Registered Investment Adviser (RIA) complaint management programs, representative investigations, disciplinary processes and Licensing & Registrations function. This role combines strategic leadership with hands-on execution, managing complex matters while driving consistency, scalability, and regulatory compliance across multiple functions.
The ideal candidate brings deep expertise in broker-dealer complaint handling and investigations, strong regulatory knowledge, and sound judgment in assessing conduct and supervisory risk. A strong understanding of FINRA Rule 4530, complaint classification standards, and disclosure requirements are essential.
ResponsibilitiesComplaint Program Leadership & Enhancement- Lead and enhance the firm's Complaint Management Program, across BD, RIA, and Insurance businesses
- Oversee the complaint investigations, escalation, and resolution, directly handling high-risk matters
- Ensure accurate application of FINRA problem/ product codes, and disclosure requirements
- Manage Rule 4530 reporting, including quarterly 4530(d) filings and event-driven reporting
- Develop reporting, controls and quality assurance processes to identify trends, identify emerging risks, and drive remediation
- Implement improvements to increase program effectiveness, consistency, and scalability
Representative Investigations- Lead investigations into registered representatives and associated people's conduct, sales practice and supervisory matters
- Partner with Legal, Human Resources, and business leadership on escalation, resolution, and disciplinary outcomes
- Support regulatory inquiries, responses, and disclosure obligations
Licensing & Registration Oversight- Oversee Licensing & Registration to ensure accurate and timely regulatory filings and registration processes are executed accurately and in accordance with applicable requirements
Qualifications- Bachelor's Degree and 8 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience OR High School Diploma or GED and 12 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience
- 7+ years of broker-dealer and/or RIA compliance experience.
- Strong experience in complaints, investigations, and regulatory reporting
- Deep knowledge of FINRA rules, including Rule 4530, U4/U5, and complaint classification standards
- Proven leadership and ability to manage complex regulatory matters
- FINRA Series 7, 24, and 63/65 or 66 licenses (or ability to obtain shortly after hire).
Preferred Qualifications- Experienced in a large, dual-registrant financial institution
- Strong investigative, risk assessment, and escalation skills
- Executive communication and stakeholder management expertise
- Insurance Licensing/Life & Health experience
This job posting is expected to remain active for 14 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 $155,000 and $175,000. 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.
