Overview
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This position will serve as the Chief Compliance Officer (CCO) for First Citizens Investor Services (FCIS), First Citizens Assets Management (FCAM) and Silicon Valley Bank Wealth (SVBW) and is responsible for overseeing and managing all aspects of the compliance program for FCIS, FCAM, and SVBW. This position ensures that the firm’s activities adhere to applicable federal and state securities laws and regulations, self-regulatory organization (SRO) rules, and internal policies. The CCO provides strategic direction, establishes an effective compliance framework, and promotes a culture of integrity and ethical conduct across the organization.
Leads compliance efforts to align with the group's risk appetite and tolerance. Facilitates the development of new policies, relationships, or business practices in response to new or changing regulations. Provides expert guidance to an associate team on all compliance and regulatory issues to drive the achievement of FCIS, FCAM, and SVBW objectives.
This is an in-office role sitting at our headquartered office in Raleigh, North Carolina (4300 Six Forks Road).
Responsibilities
Develop, implement, and maintain a comprehensive compliance program aligned with SEC, FINRA, and state regulatory requirements.
Serve as the firm’s primary liaison with regulatory bodies including the SEC, FINRA, and state securities regulators.
Provide regular compliance reporting and risk assessments to executive leadership and the Board of Directors.
Coordinate compliance monitoring, testing, and internal reviews.
Develop, deliver, and oversee compliance training programs for registered representatives, investment adviser representatives, and other associated persons
Serve as point of contact for regulatory exams, audits, and inquiries.
Provide oversight and guidance on life and health insurance sales practices and agent supervision.
Coordinate AML compliance across BD/RIA and insurance channels.
Oversee timely and accurate regulatory filings (e.g., Form ADV, Form BD, U4/U5 filings, Form CRS, and other FINRA Gateway filings).
Ensure accurate recordkeeping and books and records compliance for BD and RIA activities.
Develop and deliver compliance training programs for registered representatives, investment adviser representatives, and employees.
Assess and mitigate compliance risk across product lines, client types, and business activities.
Conduct internal investigations, respond to regulatory inquiries, and manage the resolution of compliance issues.
Qualifications
Bachelor's Degree and 10 years in Compliance with a focus on dual registrants, Broker-Dealer/RIA, and Insurance OR High School Diploma or GED and 14 years of experience with Broker-Dealer/RIA, and Insurance.
Hands on experience with working directly with the staff of the federal regulators, including management of Exams and escalated matters.
License or Certification Type: Possess valid Series 7, 6, 63, 65 or 66, and state-specific life and health insurance licenses
Deep understanding of SEC, FINRA, MSRB, and state securities regulations.
Proven experience managing regulatory exams, audits, and investigations.
Exceptional communication, analytical, and problem-solving skills.
Strong leadership presence and ability to influence across organizational levels.
Preferred Qualifications
CAMS Certification
Strategic thinking with strong operational execution
Ability to balance business goals with regulatory obligations
Strong organizational and project management skills
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.
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