• Serve as the designated compliance advisor for assigned client organizations. • Interpret and apply: NIST SP 800-171, DFARS 252.204-7012, CMMC 2.0 Level 1 & Level 2 requirements, SPRS scoring and submissions. • Guide clients through gap assessments, remediation planning, implementation, and certification readiness. • Assist clients with developing and maintaining: System Security Plans (SSPs), Plans of Action & Milestones (POA&Ms), Security policies and procedures, Compliance documentation and evidence. • Conduct recurring compliance strategy meetings with clients. • Review implementation progress and validate remediation efforts. • Serve as the primary compliance contact throughout the client engagement. • Translate complex regulatory requirements into practical business and technical recommendations. • Collaborate with client leadership, IT teams, and security personnel to implement compliant solutions. • Support clients before, during, and after assessments. • Prepare professional assessment reports and executive summaries. • Maintain accurate compliance documentation and audit evidence. • Track compliance milestones and client deliverables. • Conduct monthly compliance reviews. • Monitor regulatory updates affecting Department of Defense contractors. • Assist clients with annual self-assessments and SPRS submissions. • Support audit readiness initiatives. • Coordinate with C3PAOs, government auditors, and other stakeholders as necessary. • Deliver cybersecurity awareness and compliance training for client personnel. • Educate organizations on evolving CMMC and NIST requirements. • Help clients understand how cybersecurity controls support their business operations.

Role Description 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 - 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. 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 .

• Review, verify and approve product specifications, artwork, pack copy and labelling against current and emerging UK and EU legislation. • Provide expert regulatory advice and guidance to clients, suppliers and internal stakeholders on consumer product compliance requirements. • Build and maintain strong relationships with clients, suppliers, design agencies and other key stakeholders. • Monitor regulatory developments, industry trends and codes of practice, ensuring accurate and up-to-date advice is delivered. • Support continuous improvement through the development of compliance processes, technical checklists, training materials and best practice guidance.

Role Description The Manager of Revenue Compliance is responsible for ensuring the integrity, accuracy, and governance of pricing, contracts, and revenue-related system configurations across OnTrac. This role leads contract validation, pricing system setup, audit processes, and revenue compliance oversight while partnering closely with Pricing, Finance, Sales, Legal, Operations, and Internal Audit. - Safeguard revenue by ensuring customer agreements and pricing updates are accurately translated into systems. - Monitor, audit, and maintain compliance with contractual terms and internal policies. Qualifications - Bachelor’s degree or equivalent experience - 4–8 years of experience in a related field - Advanced Excel and data analysis skills - Experience with project management tools such as ClickUp, Jira, Asana, Smartsheet, or Monday.com - Experience with documentation tools such as Confluence or Notion - Experience working cross-functionally and driving alignment without direct authority - Ability to travel up to 10% Requirements - Contract review & database management: - Review customer contracts for pricing terms, SLAs, rebates, and billing structures. - Translate contract terms into structured formats for implementation. - Maintain a centralized, version-controlled, audit-ready contract database. - Partner with Legal, Sales, and Pricing to resolve ambiguities or inconsistencies. - Pricing setup & system governance: - Oversee and validate pricing-related configurations across internal systems. - Manage GRI updates, contract SLAs, rebates, new customer setup, existing customer modifications, discounts, incentives, and service terms. - Implementation accuracy & approval controls: - Ensure pricing changes are aligned to approved timelines, policies, contract terms, calculation logic, trigger conditions, go-live requirements, and documented approval processes. - Audit & compliance oversight: - Conduct regular audits of pricing configurations, contract setups, and system changes. - Validate that system pricing matches contractual agreements and approved modifications. - Develop audit frameworks, controls, and reporting to ensure ongoing compliance. - Finance, Internal Audit & compliance partnership: - Partner with Finance and Internal Audit teams to support compliance initiatives, audits, revenue governance, and issue resolution. - Revenue leakage & discrepancy investigations: - Lead investigations into revenue leakage, billing discrepancies, and customer disputes. - Analyze root causes of pricing errors or system misconfigurations. - Recommend corrective actions to prevent recurrence. - Reporting, dashboards & leadership insights: - Develop reporting and dashboards to track pricing accuracy, implementation timelines, compliance trends, and revenue leakage risks. - Support leadership with data-driven recommendations. Benefits - Medical, dental, and vision insurance - Life and short- and long-term disability coverage - 401(k) retirement savings plan with company match - Flex vacation with accruals up to 96 hours for the first year of employment, increasing to 160 hours with tenure - Two (2) floating holidays per year - Paid sick leave* - Six (6) paid company holidays - Two (2) weeks paid pregnancy disability leave, four (4) weeks paid parental bonding leave - Additional wellness and employee assistance programs