Series 65 Remote Jobs in Raleigh, NC (NOW HIRING)

This position directs the implementation of compliance programs within the Bank to reduce risk and ensure regulatory requirements are met. Accountabilities may include managing Fair Lending (“FL”), Home Mortgage Disclosure Act (“HMDA”), and technical Community Reinvestment Act (“CRA”) activities as well as deposit, lending, safety and soundness, privacy and financial product-related compliance risk management programs. Responsibilities may also include management of the Bank's Complaint Oversight and Response Program, as well as the Records Management Program. Compliance exam management and coordination of the enterprise's compliance training curriculum is also a key ongoing accountability. Represents compliance programs on business projects and committees. Works closely with business units and departments throughout program execution to monitor regulatory compliance. Provides personal leadership and expertise to ensure policies, procedures, and practices of the Bank comply with applicable laws and regulations.

Duties & Responsibilities:
Program Oversight - Manages a team of associates who analyze internal processes and systems for data gaps, discrepancies, or other regulatory compliance-related issues. Oversees the implementation of necessary changes to business processes, systems, or programs in accordance with external laws and regulations. Maintains a strong knowledge of applicable laws, rules, and standards in order to recommends amendments and corrective actions within business practices. Partners on the development of key performance metrics and reporting criteria within compliance programs.
Risk Management - Directs deposit, lending, privacy, safety and soundness, complaint, records management, Regulation O, affiliate, FL, HMDA, and CRA compliance program efforts to comply with the Bank's risk appetite and risk tolerances. Identifies and assesses compliance risks associated with organizational activities, including the development of new products, services, client relationships, and business practices. Oversees the monitoring, testing, and reporting of processes, data, and associate work for risk.
Business Support - Fosters productive relationships and open communication with business units throughout the Bank to develop an appropriate compliance culture. Provides expert consultation to senior leadership and associate teams on compliance-related matters. Ensures the integrity and accurate filing of HMDA and CRA data with the appropriate parties. Leads the identification and response and remediation efforts related to complaints and compliance risk events. Participates in business committees and other projects related to compliance, legal, and regulatory risk. Coordinates the enterprises compliance training curriculum and assignments.
Managerial Functions - Establishes and monitors expectations to achieve company and department goals. Makes appropriate changes to program policies, procedures, and efficiencies in order to meet objectives. Manages the performance, training, and evaluation of assigned staff.

Position Specific Skills:
Ability to interpret a broad range of complex regulations and devise logical solutions
Knowledge of FL-related statistical analysis techniques, review methods, and prohibited factor identification and related issue remediation techniques
Knowledge of deposit, lending, and safety and soundness regulations impacting the financial services industry

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

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.

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.