Compliance Officer - Investor Services (Remote)
Overview
This position ensures the legal, operational, and risk management compliance of the Bank. Maintains an expert knowledge of new and existing laws that impact enterprise activities in order to recommend necessary changes. Reviews business processes, procedures, and activities for risks and inefficiencies. Assists internal and external audits. Develops and implements new, compliant policies as appropriate. Serves as a liaison between corporate, legal, and division teams to identify and resolve complex issues. Facilitates the security and integrity of Bank activities by ensuring compliance with all applicable rules, regulations, and standards.
This is a remote role that may be hired in several markets across the United States.
Responsibilities
Compliance Improvement - Analyzes external laws and regulations as well as internal processes and systems. Aids the development and revision of policies, procedures, services, products, and systems that ensure regulatory compliance. Fosters understanding and proper implementation of necessary changes in impacted business areas. May assist special projects or related business initiatives.
Business Support - Serves as a liaison between examiners, regulators, auditors, and legal and corporate compliance during compliance examinations, processes, and procedures. Tracks, investigates, and resolves issues which may involve system testing 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 - Prepares reports for management 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 a strong knowledge of current or changing laws, regulations, requirements, policies, and procedures that affect assigned area of the Bank. Serves as a resource to management and associates on compliance-related matters.
Qualifications
Bachelor's Degree and 5 years of experience in Compliance, Legal, or Audit OR High School Diploma or GED and 9 years of experience in Compliance, Legal, or Audit
Valid Series 7 & 24 licensing
Valid Series 63, 65, 66 licensing
Preferred Qualifications
Certified Regulatory Compliance Manager (CRCM) designation
Certified Regulatory and Compliance Professional (CRCP) & ACAM designations
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 $90,000 and $135,000. 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
Apply Now
This position ensures the legal, operational, and risk management compliance of the Bank. Maintains an expert knowledge of new and existing laws that impact enterprise activities in order to recommend necessary changes. Reviews business processes, procedures, and activities for risks and inefficiencies. Assists internal and external audits. Develops and implements new, compliant policies as appropriate. Serves as a liaison between corporate, legal, and division teams to identify and resolve complex issues. Facilitates the security and integrity of Bank activities by ensuring compliance with all applicable rules, regulations, and standards.
This is a remote role that may be hired in several markets across the United States.
Responsibilities
Compliance Improvement - Analyzes external laws and regulations as well as internal processes and systems. Aids the development and revision of policies, procedures, services, products, and systems that ensure regulatory compliance. Fosters understanding and proper implementation of necessary changes in impacted business areas. May assist special projects or related business initiatives.
Business Support - Serves as a liaison between examiners, regulators, auditors, and legal and corporate compliance during compliance examinations, processes, and procedures. Tracks, investigates, and resolves issues which may involve system testing 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 - Prepares reports for management 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 a strong knowledge of current or changing laws, regulations, requirements, policies, and procedures that affect assigned area of the Bank. Serves as a resource to management and associates on compliance-related matters.
Qualifications
Bachelor's Degree and 5 years of experience in Compliance, Legal, or Audit OR High School Diploma or GED and 9 years of experience in Compliance, Legal, or Audit
Valid Series 7 & 24 licensing
Valid Series 63, 65, 66 licensing
Preferred Qualifications
Certified Regulatory Compliance Manager (CRCM) designation
Certified Regulatory and Compliance Professional (CRCP) & ACAM designations
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 $90,000 and $135,000. 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
Apply Now