Manager Compliance II - Capital Securities (Remote)

Overview

This position leads all compliance and regulatory functions for First Citizens Capital Securities ("FCCS"), First Citizens Institutional Asset Management ("FCIAM"), and SVB Asset Management. Oversees sales, service, and operational activities that reduce risk and ensure regulatory compliance for the Bank. 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 FCB Commercial Finance compliance objectives.

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

• Compliance Oversight - Responsible for risk management, governance, and regulatory activities within FCB Commercial Finance. Oversees the management of associates, services, programs, and initiatives that make necessary business changes in accordance with regulatory compliance. Leads the review and execution of initiatives that ensure regulatory, legal, and risk mitigation compliance. Reviews, monitors, and provides feedback on all underwriting activity within the broker-dealer including, bond, equity, and hybrid securities.
• Managerial Functions - Oversees a team of managers within the department. Establishes and monitors expectations to achieve company and department goals. Makes appropriate changes to division policies, procedures, and efficiencies in order to meet objectives. Manages the performance, training, and evaluation of assigned staff. Maximizes division achievements by providing professional development.
• Business Support - Facilitates the development of key risk metrics and reporting criteria. Maintains a strong knowledge of compliance-related regulations and regulatory changes in order to communicate changes to staff. May participate in business committees, industry events, or wider organizational projects related to compliance, legal, and regulatory risk.
• Business Strategy - Partners with FCB Commercial Finance leadership to identify and resolve compliance or regulatory concerns. Drives the achievement of compliance objectives that align with group risk appetite and tolerance while upholding overall security and integrity. Identifies opportunities to leverage technology that enhances processes, mitigates risks, and improves operational efficiencies. Serves as point of contact and builds relationships with external regulatory agencies and examiners.

• 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
• Valid Series 7 or 79 and 14 or 24 (Required)
  

• Valid Series 65 or 66 (Preferred)