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Senior BD & RIA Compliance Leader - Remote
Remote / Online - Candidates ideally in
Durham, Durham County, North Carolina, 27701, USA
Listed on 2026-07-19
Durham, Durham County, North Carolina, 27701, USA
Listing for:
First Citizens
Remote/Work from Home
position Listed on 2026-07-19
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
First Citizens Bank is seeking a senior Compliance Manager to lead our Broker–Dealer and Registered Investment Adviser (RIA) complaint management, investigations, and licensing oversight. This remote role may hire across multiple U.S.
markets, requiring strategic leadership and hands-on execution to ensure regulatory compliance and consistency. You will oversee investigations, apply FINRA Rule 4530 standards, manage 4530 reporting, and drive remediation with cross-functional partners in Legal,
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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