Skip to content
CV Rocket
Get started
How it worksThe enginePricingBlogContactSign in

Open nowPosted 6 hours ago

Compliance Officer - Electronic Communications Surveillance (Remote)

First Citizens Bank417 open roles

Where
Raleigh, North Carolina, United States
Work mode
Remote
Get the CV for this job

From $25 per CV, paid once. No subscription.

Your applicationOpen nowCompliance Officer - Electronic Communications Surveillance (Remote)First Citizens Bank · Raleigh, North Carolina, United States

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on First Citizens Bank's own form.

The reply lands in your private mailbox

3×more interviews than doing it yourself with ChatGPT.

The clock on this job

Early applications get read.

12.8% of postings close within 7 days. Measured by our own scanner across the market. First Citizens Bank postings stay open a median of 5 days.

Share of postings closed within
  1. 2.2%1 day
  2. 4.5%3 days
  3. 12.8%7 days
  4. 20.6%14 days
  5. 35.6%30 days
  6. 58.4%60 days
This job: posted 6 hours ago

First Citizens Bank median: 5 days open

The posting

Overview

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

The Compliance Officer serves as a senior individual contributor within Wealth Compliance, providing regulatory oversight of the Firm's electronic communications surveillance program. The role is responsible for reviewing and investigating escalated communications, assessing conduct and supervisory risk, supporting off-channel communications oversight, and partnering with business and compliance leaders to identify emerging risks and trends.

The ideal candidate is an experienced broker-dealer and/or RIA compliance professional who possesses strong supervisory judgment, investigative skills, and the ability to independently evaluate complex communications and sales practice matters.

Responsibilities & Qualifications

Duties & Responsibilities:

  • Electronic Communication Review
  • 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.

Qualifications:

  • 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 Qualifications:

  • Experience supporting electronic communications surveillance programs within a broker-dealer or dual registrant environment.
  • Prior supervisory principal experience.
  • Experience with Global Relay or similar communications surveillance platforms.
  • Familiarity with off-channel communications governance and surveillance.
  • Experience performing trend analysis, reporting, and risk assessments.
  • 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 $115,000 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.

From $25, paid onceGet the CV for this job

What happens when you press

One press. We do the rest.

  1. A CV for this posting

    Written against First Citizens Bank's own wording, from every piece of relevant proof in your profile.

  2. 25 readers review it

    Recruiter, hiring manager, skeptic and more read every draft, round after round. You get the best round.

    The review screen in CV Rocket: how each CV was read, round by round.

  3. We apply on First Citizens Bank's form

    Our application engine gets through the hardest forms there are. Where a question needs you, AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

    An application in CV Rocket: every answer filled in on the employer's form.

  4. Every reply, sorted

    First Citizens Bank's answer lands in your private mailbox, and we classify it on arrival: interview, question, rejection.

    The CV Rocket inbox: each employer reply classified as an interview, an action or a rejection.

  5. Reply with AI

    AI helps you write the email, checks it and sends it. We show you whether the recruiter read it.

  6. The interview in your calendar

    Full integration with your calendar. The invitation goes straight in.

    An interview invitation in the CV Rocket inbox, added to the candidate's calendar.
Get the CV for this job

From $25 per CV, paid once. No subscription.

Why it works

3×

more interviews than doing it yourself with ChatGPT.

ChatGPT writes a CV and never learns what happened to it. We see every reply. For each CV we know:

  • How it was written, and how the review scored it
  • When we applied, and how long after the posting went up
  • Which posting, which company, which city
  • Who got the interview, and who heard nothing

That is how we know which CVs get called.

Get the CV for this job

From $25 per CV, paid once. No subscription.

The numbers game

More applications. More interviews.

Every application goes out with its own CV, written for that posting and paid once. Send enough of them and the law of large numbers finds you the job.

Get the CV for this job
By hand5–10
With CV Rocket100
applications a day

Nearby

Live postings like this one

Same employer first, then the same role elsewhere.

Before you press

Straight answers

Get the CV for this job

From $25 per CV, paid once. No subscription.

What if my background isn't good enough?

We make the most of the background you have. The CV uses every piece of relevant proof your profile holds, and one of the 25 readers reads your whole profile and flags what the CV left out.

Do you really apply for me?

Yes, on the employer's own form, the hardest ones included. Where a question needs you, you answer it right there and AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

Is it a subscription?

No. You pay once per CV, from $25. Every application goes out with its own CV, written for that posting.

One job. One CV.
Paid once.

Pick the posting you want. We write for it, apply for you and catch the reply.

Get the CV for this job

From $25 per CV, paid once. No subscription.