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Remote Ria Jobs in Fuquay Varina, NC (NOW HIRING)

First Citizens Bank

Manager Compliance II EA IS

Raleigh, NC · On-site +1

$155K - $175K/yr

Overview This is a remote role that may be hired in several markets across the United States. The ... Lead and enhance the firm's Complaint Management Program, across BD, RIA, and Insurance businesses

First Citizens Bank

Manager Compliance II EA IS

Raleigh, NC · On-site +1

$155K - $175K/yr

Overview This is a remote role that may be hired in several markets across the United States. The ... Lead and enhance the firm's Complaint Management Program, across BD, RIA, and Insurance businesses

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Remote Ria information

See Fuquay Varina, NC salary details

$69K

$104.9K

$141.2K

How much do remote ria jobs pay per year?

As of Sep 1, 2026, the average yearly pay for remote ria in Fuquay Varina, NC is $104,911.00, according to ZipRecruiter salary data. Most workers in this role earn between $90,000.00 and $118,500.00 per year, depending on experience, location, and employer.

What is a remote RIA?

Remote RIAs are Registered Investment Advisors who provide financial planning and investment management services to clients entirely online or from a remote location, rather than in a traditional office setting. They use digital platforms to communicate, manage portfolios, and deliver advice, making financial services more accessible and convenient for clients regardless of location. This setup allows RIAs to serve a broader client base while also offering flexibility in their work environment.

What are the key skills and qualifications needed to thrive as a remote RIA?

To thrive as a Remote Registered Investment Advisor (RIA), you generally need strong financial analysis skills, investment management expertise, and relevant certifications like the Series 65 or CFP. Familiarity with portfolio management software, financial planning tools, and secure communication platforms is essential for remote work. Excellent client communication, trustworthiness, and self-motivation are standout soft skills in this role. These qualifications are crucial for providing sound investment advice, maintaining regulatory compliance, and building strong client relationships in a remote environment.

What are some common challenges faced by remote RIA professionals and how can they be managed?

Remote RIAs often face challenges such as building strong client relationships without face-to-face interactions, managing compliance requirements across different jurisdictions, and staying updated with evolving financial regulations. To manage these, professionals typically leverage secure digital communication tools, implement robust compliance software, and participate in regular training or industry webinars. Additionally, setting clear communication protocols and maintaining a structured daily routine can help streamline client management and ensure regulatory adherence while working remotely.

What is the difference between Remote Ria vs Remote Financial Advisor?

AspectRemote RiaRemote Financial Advisor
CredentialsSeries 7, 63/65, CFP (optional)Series 7, 63/65, CFP (often required)
Work EnvironmentRegistered Investment Advisor firm, compliance-focusedIndependent or firm-based, client-facing
Industry UsageFinancial planning, investment managementFinancial planning, wealth management
Common Search IntentRemote Ria vs Remote Financial Advisor

Remote Rias typically focus on investment management and compliance, often working within registered firms, while Remote Financial Advisors may have a broader client-facing role in financial planning. Both roles require similar certifications, but their focus and work environment differ slightly, catering to different client needs within the financial industry.

What are popular job titles related to Remote Ria jobs in Fuquay Varina, NC?

For Remote Ria jobs in Fuquay Varina, NC, the most frequently searched job titles are:

What job categories do people searching Remote Ria jobs in Fuquay Varina, NC look for?

The top searched job categories for Remote Ria jobs in Fuquay Varina, NC are:

What cities near Fuquay Varina, NC are hiring for Remote Ria jobs?

Cities near Fuquay Varina, NC with the most Remote Ria job openings:

Remote Ria jobs near you
Infographic showing various Remote Ria job openings in Fuquay Varina, NC as of June 2026, with employment types broken down into 96% Full Time, 2% Part Time, and 2% Contract. Highlights an 100% Remote job distribution, with an average salary of $104,911 per year, or $50.4 per hour.

Manager Compliance II EA IS

Raleigh, NC • On-site, Remote

First Citizens Bank

7.4

Company rating: 7.4 out of 10

Based on 106 frontline employees who took The Breakroom Quiz

108th of 173 rated banks

People enjoy working here

Good employer

Recommended by students

Learn more about First Citizens Bankexternal

$155K - $175K/yr

Full-time

Re-posted 19 days ago

Job description

Overview

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

The Compliance Manager is a senior leader within Compliance, responsible for oversight of the firm’s Broker-Dealer and Registered Investment Adviser (RIA) complaint management programs, representative investigations, disciplinary processes and Licensing & Registrations function.  This role combines strategic leadership with hands-on execution, managing complex matters while driving consistency, scalability, and regulatory compliance across multiple functions.

The ideal candidate brings deep expertise in broker-dealer complaint handling and investigations, strong regulatory knowledge, and sound judgment in assessing conduct and supervisory risk. A strong understanding of FINRA Rule 4530, complaint classification standards, and disclosure requirements are essential.


Responsibilities & Qualifications

Complaint Program Leadership & Enhancement

  • Lead and enhance the firm’s Complaint Management Program, across BD, RIA, and Insurance businesses
  • Oversee the complaint investigations, escalation, and resolution, directly handling high-risk matters
  • Ensure accurate application of FINRA problem/ product codes, and disclosure requirements
  • Manage Rule 4530 reporting, including quarterly 4530(d) filings and event-driven reporting
  • Develop reporting, controls and quality assurance processes to identify trends, identify emerging risks, and drive remediation
  • Implement improvements to increase program effectiveness, consistency, and scalability 

Representative Investigations

  • Lead investigations into registered representatives and associated people’s conduct, sales practice and supervisory matters
  • Partner with Legal, Human Resources, and business leadership on escalation, resolution, and disciplinary outcomes
  • Support regulatory inquiries, responses, and disclosure obligations 

Licensing & Registration Oversight

  • Oversee Licensing & Registration to ensure accurate and timely regulatory filings and registration processes are executed accurately and in accordance with applicable requirements

Qualifications

  • 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
  • 7+ years of broker-dealer and/or RIA compliance experience.
  • Strong experience in complaints, investigations, and regulatory reporting
  • Deep knowledge of FINRA rules, including Rule 4530, U4/U5, and complaint classification standards
  • Proven leadership and ability to manage complex regulatory matters
  • FINRA Series 7, 24, and 63/65 or 66 licenses (or ability to obtain shortly after hire).

Preferred Qualifications

  • Experienced in a large, dual-registrant financial institution
  • Strong investigative, risk assessment, and escalation skills
  • Executive communication and stakeholder management expertise
  • Insurance Licensing/Life & Health experience

Additional Information

This job posting is expected to remain active for 14 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 $155,000 and $175,000. 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.

Qualifications:

This job posting is expected to remain active for 14 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 $155,000 and $175,000. 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.

Education:UNAVAILABLEEmployment Type: FULL_TIME

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