Remote Ria Compliance Jobs (NOW HIRING)

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.

Data Governance & Reporting

• Support governance of Compliance-related data, including data integrity, reconciliation, retention and reporting controls
• Develop and maintain recurring and ad hoc Compliance reporting and dashboards
• Assist in identifying data trends, anomalies, and potential control gaps across Compliance systems
• Coordinate with stakeholders to ensure reporting is accurate, complete, and aligned with business and regulatory expectations 

Compliance Technology & Workflow Administration

• Administer and support Compliance systems, workflows, and surveillance tools across Compliance functions
• Partner with Compliance stakeholders to develop, enhance, and optimize workflows, case management, processes, and system functionality
• Support implementation and deployment of new Compliance technologies, enhancements, and integrations
• Coordinate user access governance, configuration management, and system change controls
• Identify opportunities to improve operational efficiency, scalability, and data quality through automation and workflow enhancements

Regulatory & Cross-Functional Support

• Support regulatory exams, audits, and internal reviews involving Compliance systems, surveillance, and electronic communications governance
• Partner with Compliance, Supervision, Technology, Legal, and Risk teams to support ongoing program enhancements and strategic initiatives
• Maintain awareness of regulatory developments impacting electronic communications, books and records, and Compliance technology governance

• 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
• 10+ years of broker dealer and/or RIA experience and 5+ years supporting broker dealer and/or RIA workflows and systems
• Demonstrated experience with Global Relay system administration, governance, and/or deployment strongly preferred
• Experience with data analysis, reporting, and workflow/process enforcement
• Effective written communication, particularly for regulatory and executive reporting
• Ability to manage multiple matters and deadlines
• Collaborative mindset with ability to work across functions

Preferred Qualifications

• Strong understanding of electronic communications governance, regulatory requirements, and retention and surveillance concepts
• Exposure to regulatory exams or enforcement matters
• Experience developing management or board-level reporting
• FINRA Securities Industry Essentials (SIE) exam as well as Series 6 or Series 7 preferred; Valid Life & Health Producer license also preferred.

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.

• 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
• 10+ years of broker dealer and/or RIA experience and 5+ years supporting broker dealer and/or RIA workflows and systems
• Demonstrated experience with Global Relay system administration, governance, and/or deployment strongly preferred
• Experience with data analysis, reporting, and workflow/process enforcement
• Effective written communication, particularly for regulatory and executive reporting
• Ability to manage multiple matters and deadlines
• Collaborative mindset with ability to work across functions

Preferred Qualifications

• Strong understanding of electronic communications governance, regulatory requirements, and retention and surveillance concepts
• Exposure to regulatory exams or enforcement matters
• Experience developing management or board-level reporting
• FINRA Securities Industry Essentials (SIE) exam as well as Series 6 or Series 7 preferred; Valid Life & Health Producer license also preferred.

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.