Compliance Officer – Electronic Communications Surveillance

First Citizens Bank

. Review and disposition escalated electronic communications identified through the Firm's surveillance program .

Posted 11/2/2026full-timeRemote • North Carolina • United StatesMid-LevelSenior💰 $115,000 - $130,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance and risk management within electronic communications, with a strong focus on regulatory requirements and supervisory practices. Proficient in conducting investigations and thematic reviews while effectively collaborating with stakeholders to enhance surveillance processes.

Highest-signal resume keywords

FINRA Series 24 LicenseBroker-Dealer Compliance ExperienceSurveillance Review ExperienceKnowledge of FINRA Rules 2210 and 3110Analytical and Organizational Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

ComplianceRisk AssessmentInvestigationsSurveillance ReviewsThematic ReviewsTrend AnalysisReportingRegulatory JudgmentControl Gap IdentificationElectronic Communications Governance

Soft Skills

Written CommunicationOrganizational SkillsAnalytical Skills

Tools & Technologies

Global RelayCommunications Surveillance Platforms

Certifications & Qualifications

FINRA Series 24 License

Industry Keywords

Broker-DealerRIA ComplianceSupervisionConduct IssuesSales Practice ConcernsOff-Channel CommunicationsSurveillance ProgramRegulatory Requirements

About the role

Key responsibilities & impact

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

Requirements

What you’ll need

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: experience supporting electronic communications surveillance programs within a broker-dealer or dual registrant environment
Preferred: prior supervisory principal experience
Preferred: experience with Global Relay or similar communications surveillance platforms
Preferred: familiarity with off-channel communications governance and surveillance
Preferred: experience performing trend analysis, reporting, and risk assessments
Preferred: insurance licensing/life & health experience

Benefits

Comp & perks

Competitive, thoughtfully designed benefits program
Variable incentives, bonuses, benefits, and/or other awards may be included in total compensation