Manager Compliance II - Supervisory and Surveillance Oversight (Remote)

This is a remote role that may be hired in several markets across the United States.

We are seeking a seasoned Compliance Manager to lead supervisory and surveillance oversight for our dual-registrant firm (Broker-Dealer and Registered Investment Adviser). This role is responsible for ensuring compliance with applicable SEC, FINRA, and state regulations, with a focus on implementing and managing supervisory controls, reviewing surveillance reports, and mitigating risks related to trading, communications, and sales practices.

• Supervisory Oversight
• Develop, implement, and maintain supervisory procedures aligned with FINRA Rule 3110 and SEC regulations.
• Conduct regular reviews of supervisory controls and escalate deficiencies or trends.
• Coordinate with business line supervisors to ensure adherence to firm and regulatory policies.
• Surveillance Program Management
• Lead daily and periodic surveillance of trading activity, customer communications, email reviews, and account activity.
• Investigate and resolve red flags, exceptions, and trade alerts, document findings and resolutions.
• Oversee and enhance electronic surveillance tools (e.g., Global Relay, Proofpoint).
• Oversee the Customer Complaint review, response, and reporting process.
• Regulatory Readiness
• Serve as a point of contact for regulatory exams, internal audits, and inquiries.
• Conduct periodic branch office inspections and manage remote supervision protocols.
• Reporting & Escalation
• Prepare management and board-level reports on compliance trends, issues, and resolutions.
• Escalate material concerns and ensure appropriate remediation steps are followed.

• Bachelor's Degree and 8 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience OR High School Diploma or GED and 12 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience

Preferred Qualifications

• Extensive experience in broker-dealer and/or RIA compliance, with strong supervisory and surveillance exposure.
• FINRA Series 7, 24, and 63/65 or 66 licenses required.
• Strong working knowledge of FINRA rules, SEC regulations, and Investment Advisers Act of 1940.
• Experience with compliance technology platforms (Protegent - surveillance, trade review, Global Relay, Proofpoint communications monitoring).
• Ability to lead cross-functional initiatives and communicate complex compliance matters clearly.
• Prior experience managing dual-registrant compliance surveillance programs.
• Strong investigative, analytical, and documentation skills.
• Ability to work independently and manage shifting priorities in a fast-paced environment.

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 $140,000 and $170,000. 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.

Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits.