Compliance Officer II – Investor Services (Remote) Position Available In Wake, North Carolina

Compliance Officer II

• Investor Services (Remote) First Citizens Bank
• 3.5 Raleigh, NC Job Details Full-time $94,000
• $150,000 a year 14 hours ago Qualifications 6 years Series 66 High school diploma or GED Series 7 Bachelor’s degree Series 24 Series 65 Senior level Banking Series 63 Full Job Description 27891 4300 Six Forks Road Raleigh, North Carolina

COMPLIANCE

Monday

• Friday 06/25/2025 Job Description Overview This position is responsible for developing and executing the Compliance Risk Management Program of the Bank’s registered investment adviser and broker-dealer subsidiaries, which includes implementation of complex regulatory requirements that impact multiple systems, processes, and clients.

Maintains detailed knowledge of new and existing rules, regulations, and laws that impact enterprise activities and identifies strategies and efficiencies to mitigate compliance risk. Works closely with CCO, compliance staff and business leaders to provide consultative guidance and direction throughout implemented changes. This is a remote role that may be hired in several markets across the United States. Responsibilities Compliance Improvement

• Serves as a subject matter expert with an emphasis on FINRA and SEC new or existing laws, rules and regulations which are complex and multi-layered. Communicates changes to business partners and supports implementation of necessary changes to impacted business areas. Business Support
• Serves as a liaison between the business units and examiners, regulators, auditors, legal and corporate compliance during compliance examinations. Analyzes existing policies, procedures and controls to identify compliance gaps and improvements. Provides guidance on complex and emerging compliance risk scenarios. Reporting
• Develops reports for management and executive committees on results of compliance reviews, legal changes, or new regulations. Conveys the necessary actions to fulfill regulatory requirements and communicates changes amongst work groups. Compliance Expertise
• Maintains expertise and stays updated about current or changing laws, regulations, requirements, policies, and procedures that affect assigned area of the Bank.

Serves as a resource to management and business unit leaders on compliance-related matters. Qualifications Bachelor’s Degree and 6 years of experience in Compliance, Legal, Audit, Banking OR High School Diploma or GED and 10 years of experience in Compliance, Legal, Audit, Banking Preferred Qualifications Valid Series 7, 24 & 63, 65 or 66 licenses 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 $94,000 and $150,000. 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. First Citizens benefits programs are designed to meet our associates where they are in life. Full-time associates (20+ hours) are offered a comprehensive benefits program, with customized offerings, including those designed to support families, however defined. More information regarding our benefits offerings can be found here: https://jobs.firstcitizens.com/benefits First Citizens Bank is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race (including traits historically associated with race, such as hair texture and protective hairstyles), color, religion, national origin, sex, age, disability, protected veteran status, sexual orientation, gender identity, genetic information, military membership, application, or obligation, or any other legally protected status. Section 19 of the Federal Deposit Insurance Act prohibits First Citizens Bank from employing individuals convicted of certain criminal offenses. Offers of employment will be contingent upon a satisfactory background check. The Bank is committed to maintaining a safe workplace free from the influence of prohibited drugs and the misuse of alcohol and will not tolerate any prohibited drug use or alcohol misuse that jeopardizes the safety of associates, customers or others at the workplace, or threatens the Bank’s operations or competitiveness. If you have a disability and need special assistance or accommodation to apply for employment at First Citizens Bank, please contact our Human Resources department at 888.716.7199 or email us at .