Senior Compliance Officer – Institutional Asset Management, Capital Markets

First Citizens Bank

. Serve as the primary compliance advisor for private investments, private placement engagements, capital raising activities, and related strategic initiatives .

Posted 11/10/2026full-timeRaleigh • North Carolina • United StatesSenior💰 $150,000 - $175,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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

Demonstrates extensive expertise in compliance advisory for private investments, regulatory guidance, and risk management, with a strong focus on the Investment Advisers Act of 1940 and SEC regulations. Proven ability to lead compliance initiatives, manage complex regulatory matters, and collaborate effectively with cross-functional teams.

Highest-signal resume keywords

Compliance Advisory SupportInvestment Advisers Act of 1940SEC Marketing RuleFINRA Series 7 & 24 LicensesRegulatory Compliance Oversight

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory GuidanceRisk ManagementCompliance Framework AssessmentConflict-of-Interest ManagementCompliance TestingAudit ActivitiesPolicy DevelopmentRegulatory Examination SupportTrade Surveillance SystemsElectronic Communication Surveillance Systems

Soft Skills

Excellent Written CommunicationExcellent Verbal CommunicationAnalytical SkillsOrganizational SkillsProblem-Solving Skills

Certifications & Qualifications

FINRA Series 7 LicenseFINRA Series 24 License

Industry Keywords

Private InvestmentsCapital Raising ActivitiesCompliance PoliciesWritten Supervisory ProceduresCodes of EthicsRegulatory DevelopmentsCompliance Risk AssessmentsCross-Functional CollaborationStrategic Growth OpportunitiesBest Execution

About the role

Key responsibilities & impact

Serve as the primary compliance advisor for private investments, private placement engagements, capital raising activities, and related strategic initiatives
Partner with business leaders and key stakeholders to support strategic growth opportunities while ensuring regulatory and firm-standard alignment
Deliver practical, risk-based compliance guidance and resolve complex compliance matters
Advise on regulatory expectations, business objectives, and operational realities
Identify, assess, and escalate conflicts of interest, confidentiality concerns, nonpublic information risks, and other transaction-related compliance issues to the Chief Compliance Officer
Review pitchbooks, teasers, management presentations, and other transaction or marketing materials for regulatory and policy compliance
Provide compliance oversight of portfolio management activities
Oversee reviews involving best execution, trade allocation and aggregation, and conflict-of-interest management
Maintain and strengthen compliance policies, procedures, Written Supervisory Procedures, and Codes of Ethics
Evaluate regulatory developments and implement program enhancements
Assess compliance frameworks, identify gaps, and implement scalable control solutions
Lead corrective action initiatives
Participate in compliance risk assessments and lead monitoring, surveillance, and testing
Lead internal compliance testing and audit activities
Support the CCO in regulatory examinations, inquiries, investigations, and other complex regulatory matters
Contribute to new product and service initiatives and strategic programs
Participate in special projects and perform additional responsibilities as assigned

Requirements

What you’ll need

Bachelor's Degree and 8 years' experience OR High School Diploma or GED/Equivalent and 12 years' experience in Compliance, Legal, Audit, Banking or other related experience
Strong working knowledge of the Investment Advisers Act of 1940, SEC Marketing Rule, FINRA rules, and related regulatory guidance
Experience providing compliance advisory support to an asset manager engaged in private investments
Excellent written and verbal communication skills
Strong analytical, organizational, and problem-solving skills
Demonstrated ability to exercise sound judgment and provide risk-based recommendations
Proven ability to manage multiple priorities and deadlines
Ability to work independently and collaboratively with cross-functional teams
FINRA Series 7 & 24 licenses
Preferred: Experience with electronic communication surveillance systems and trade surveillance systems
Preferred: Ability to mentor and lead large cross functional projects

Benefits

Comp & perks

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