Paid Sick Days

Prescription Drug Coverage

Professional Development

401K

Flexible Spending Accounts

Retirement / Pension Plans

Life Insurance

OTHER

FEED

UNKNOWN

The Senior Compliance Analyst will serve as a key individual contributor responsible for supporting and enhancing the firm’s Compliance technology environment, with primary responsibility for data governance, workflow administration, and system development across the Broker-Dealer and Registered Investment Advisor platforms. Qualifications: Bachelor's Degree and 4 years of experience in Analytics, Financial Compliance/Regulatory environment OR High School Diploma or GED and 8 years of experience in Analytics, Financial Compliance/Regulatory environment.

Overview:
This is a remote role that may be hired in Ohio. The Senior Compliance Analyst will serve as a key individual contributor responsible for supporting and enhancing the firm’s Compliance technology environment, with primary responsibility for data governance, workflow administration, and system development across the Broker-Dealer and Registered Investment Advisor platforms. This role will play a critical part in ensuring Compliance systems and surveillance platforms operation effectively, efficiently, and in alignment with regulatory expectations and business needs.  The position requires strong technical aptitude, attention to detail, and the ability to translate Compliance requirements into scalable workflows, reporting, and technology solutions.  The ideal candidate will bring demonstrated experience with system administration and governance, including proficiency with Global Relay surveillance as well as texting capabilities.

Responsibilities:
Data Governance & Reporting<ul><li style="margin-left:0.25in">Support governance of Compliance-related data, including data integrity, reconciliation, retention and reporting controls</li><li style="margin-left:0.25in">Develop and maintain recurring and ad hoc Compliance reporting and dashboards</li><li style="margin-left:0.25in">Assist in identifying data trends, anomalies, and potential control gaps across Compliance systems</li><li style="margin-left:0.25in">Coordinate with stakeholders to ensure reporting is accurate, complete, and aligned with business and regulatory expectations </li></ul>Compliance Technology & Workflow Administration<ul><li style="margin-left:0.25in">Administer and support Compliance systems, workflows, and surveillance tools across Compliance functions</li><li style="margin-left:0.25in">Partner with Compliance stakeholders to develop, enhance, and optimize workflows, case management, processes, and system functionality</li><li style="margin-left:0.25in">Support implementation and deployment of new Compliance technologies, enhancements, and integrations</li><li style="margin-left:0.25in">Coordinate user access governance, configuration management, and system change controls</li><li style="margin-left:0.25in">Identify opportunities to improve operational efficiency, scalability, and data quality through automation and workflow enhancements</li></ul>Regulatory & Cross-Functional Support<ul><li style="margin-left:0.25in">Support regulatory exams, audits, and internal reviews involving Compliance systems, surveillance, and electronic communications governance</li><li style="margin-left:0.25in">Partner with Compliance, Supervision, Technology, Legal, and Risk teams to support ongoing program enhancements and strategic initiatives</li><li style="margin-left:0.25in">Maintain awareness of regulatory developments impacting electronic communications, books and records, and Compliance technology governance</li></ul>

Qualifications:
<ul><li>Bachelor's Degree and 4 years of experience in Analytics, Financial Compliance/Regulatory environment OR High School Diploma or GED and 8 years of experience in Analytics, Financial Compliance/Regulatory environment</li><li>10+ years of broker dealer and/or RIA experience and 5+ years supporting broker dealer and/or RIA workflows and systems</li><li>Demonstrated experience with Global Relay system administration, governance, and/or deployment strongly preferred</li><li>Experience with data analysis, reporting, and workflow/process enforcement</li><li>Effective written communication, particularly for regulatory and executive reporting</li><li>Ability to manage multiple matters and deadlines </li><li>Collaborative mindset with ability to work across functions</li></ul>Preferred Qualifications<ul><li>Strong understanding of electronic communications governance, regulatory requirements, and retention and surveillance concepts</li><li>Exposure to regulatory exams or enforcement matters</li><li>Experience developing management or board-level reporting</li><li>FINRA Securities Industry Essentials (SIE) exam as well as Series 6 or Series 7 preferred; Valid Life & Health Producer license also preferred. </li></ul>  This job posting is expected to remain active for 3 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. 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.

First Citizens Bank helps personal, business, commercial and wealth clients build financial strength that lasts. As the largest family-controlled bank in the United States, First Citizens is continuing a unique legacy of strength, stability, and long-term thinking that has spanned generations. Founded in 1898 and headquartered in Raleigh, N.C., First Citizens also operates a nationwide direct bank and a network over 550 branches in 22 states. Industry specialists bring a depth of expertise that helps businesses and individuals meet their specific goals at every stage of their financial journey. First Citizens Bank brings together personal service and powerful tools to help customers do more with their money – and make more of their future.  
 
Looking for a career with CIT? CIT is now a division of First Citizens Bank.
First Citizens Bank. Forever First®

First Citizens Bank

Senior Compliance Analyst - Investor & RIA Services (Hybrid)

Analysis Skills

Automation

Brokerage

Case Management

Change Control

Communication Skills

Compensation and Benefits

Configuration Management

Cross-Functional

Data Analysis

Data Quality

Detail Oriented

Environmental Compliance

Financial Compliance

Financial Regulations

High School Diploma

Internal Audit

Investment Services

Legal

Maintain Compliance

Operational Improvement

Operational Strategy

Reconciliation

Registered Investment Advisor (RIA)

Regulations

Regulatory Compliance

Regulatory Reports

Regulatory Requirements

Reporting Dashboards

Risk

Securities

Series 6

Series 7

Short Messaging Service (SMS)

Strategic Planning

Surveillance

Systems Administration/Management

Team Player

Time Management

Trend Analysis

eBooks

[AW]-iCims

The Wake County Information Technology Department is seeking an experienced Network Services Engineer to provide advanced technical support and leadership for the county''s enterprise network infrastructure and its connected partner agencies. Essential Functions: Monitor the performance of network hardware, software and data circuits, ensuring all network components are running on current firmware and/or IOS/COS release levels.

Join Wake County as a Network Services Engineer and Help Drive Innovation!The Wake County Information Technology Department is seeking an experienced Network Services Engineer to provide advanced technical support and leadership for the county''s enterprise network infrastructure and its connected partner agencies. In this role, you will lead the design, implementation, integration and monitoring of network hardware, software and circuits that support Wake County's critical business systems. Additionally, you will be responsible for developing network designs that enhance disaster recovery and redundancy efforts, ensuring the secure and continuous operation of essential network services and business processes 24/7, including holidays.Essential Functions:<ul><li>Monitor the performance of network hardware, software and data circuits, ensuring all network components are running on current firmware and/or IOS/COS release levels</li><li>Act as a project lead or team member for assigned tasks and projects</li><li>Develop strategies, technical direction and engineering solutions for enterprise-wide network services to meet key business needs</li><li>Assist other IT staff with network-related issues and provide second-level support to the helpdesk for areas managed or supported by the Network Team</li></ul>NOTE: This position has a 24-hour on-call requirement with the ability to be onsite at any Wake County location within 1 hour and 30 minutes and is 60% remote and 40% in-office.NOTE: A valid Driver''s License and "safe" driving record is required.

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Senior Compliance Analyst - Investor & RIA Services (Hybrid) First Citizens Bank

Network Services Engineer - Hybrid 60% Remote Wake County North Carolina

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