Senior Compliance Analyst – Electronic Communications Surveillance

First Citizens Bank

. Review escalated electronic communications generated through the Firm's surveillance program .

Posted 11/2/2026full-timeRemote • North Carolina • United StatesSenior💰 $90,000 - $120,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in financial compliance and regulatory environments, with a strong focus on electronic communications surveillance, documentation, and trend analysis. Proficient in managing competing priorities while maintaining compliance with industry regulations and firm requirements.

Highest-signal resume keywords

FINRA Series 24 LicenseElectronic Communications ReviewFinancial Compliance ExperienceSurveillance Platforms ExperienceAnalytical Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Trend AnalysisDocumentation ProcessesQuality AssuranceInvestigative StepsSecurities Industry RegulationsSupervisory ConceptsCase DocumentationThematic ReviewsSurveillance ProjectsEscalation Procedures

Soft Skills

Strong Organizational SkillsAnalytical SkillsCommunication SkillsAbility to Manage Competing Priorities

Tools & Technologies

Surveillance PlatformsCase Management PlatformsWorkflow Platforms

Certifications & Qualifications

FINRA Series 24 LicenseInsurance LicensingLife & Health Experience

Industry Keywords

Broker-Dealer ComplianceRIA ComplianceFINRA Rules 2210FINRA Rules 3110Regulatory Risk Management

About the role

Key responsibilities & impact

Review escalated electronic communications generated through the Firm's surveillance program
Document review findings, investigative steps, and disposition decisions
Escalate potentially inappropriate communications, conduct concerns, and supervisory issues
Support reviews related to off-channel communications and repatriated communication records
Assist with thematic reviews, surveillance projects, and branch inspection support
Participate in trend analysis, reporting, and metric development
Support surveillance reconciliation, quality assurance, and documentation processes
Maintain accurate records and case documentation in accordance with Firm requirements
Partner with Compliance and business stakeholders to support timely and effective supervision of electronic communications across the Firm

Requirements

What you’ll need

Bachelor's Degree and 4 years' experience OR High School Diploma or GED/Equivalent and 8 years' experience in Analytics, Financial Compliance/Regulatory environment
FINRA Series 24 license required
1-3 years BD and/or RIA experience, ideally within supervision or Compliance
Basic understanding of securities industry regulations and supervisory concepts
Strong organizational, analytical, and communication skills
Ability to manage competing priorities in a fast-paced environment
Broker-dealer or RIA compliance experience preferred
Experience reviewing electronic communications, account activity, correspondence, or supervisory exceptions preferred
Familiarity with FINRA Rules 2210 and 3110 preferred
Experience using surveillance, case management, or workflow platforms preferred
Insurance Licensing/Life & Health experience preferred
Interest in pursuing a long-term career in compliance, supervision, and regulatory risk management

Benefits

Comp & perks

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