Overview

This position leads all compliance and regulatory functions for First Citizens Investor Services (FCIS), First Citizens Asset Management (FCAM), SVB Wealth, First Citizens Insurance Services as well as First Citizens Trust Service (together FCB Wealth). 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 Wealth compliance objectives.

• Compliance Oversight - Responsible for risk management, governance, and regulatory activities within FCB Wealth. 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.
• 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 Wealth 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.