Compliance Officer Jobs in North Carolina
Compliance Officer jobs in North Carolina are in steady demand, with concentrations in financial services, healthcare, and pharmaceutical manufacturing and openings ranging from entry-level compliance analysts through senior and director-level roles. Charlotte, Raleigh, and Durham are the state's primary hiring centers, where employers such as Bank of America, Duke University Health System, and Novartis anchor consistent recruiting. The most in-demand specialties are financial regulatory compliance, healthcare compliance, and pharmaceutical quality and compliance. Find a role that fits below and apply directly.
Find Compliance Officer JobsOverview
Showing 5 of 10+ Compliance Officer jobs
The Compliance Officer serves as a senior individual contributor within Wealth Compliance, providing regulatory oversight of the Firm's electronic communications surveillance program. The role is responsible for reviewing and investigating escalated communications, assessing conduct and supervisory risk, supporting off-channel communications oversight, and partnering with business and compliance leaders to identify emerging risks and trends.
- Electronic Communication Review
- Review and disposition escalated electronic communications identified through the Firm's surveillance program.
- Conduct deeper reviews into potentially inappropriate communications, sales practice concerns, conduct issues, and supervisory matters.
- Partner with field leaders, supervisory principals, and Compliance stakeholders to gather facts, assess risk, and determine appropriate resolution.
- Support oversight of off-channel communications submissions, including review of repatriated communications and identification of emerging risks and trends.
- Identify themes, control gaps, and supervisory concerns and escalate matters as appropriate.
- Assist with thematic reviews, branch inspection support, and other supervisory initiatives.
- Contribute to surveillance reporting, metrics, and management information.
- Support enhancement of surveillance lexicons, monitoring scenarios, procedures, and controls.
- Provide guidance regarding regulatory requirements applicable to electronic communications and supervision.
Qualifications:
- Bachelor's Degree and 5 years' experience OR High School Diploma or GED/Equivalent and 9 years' experience in Compliance, Legal, or Audit
- FINRA Series 24 license required
- 3-5+ years of broker-dealer and/or RIA compliance, supervision, or risk experience.
- Experience conducting investigations, supervisory reviews, or surveillance reviews.
- Working knowledge of FINRA communications and supervision requirements, including Rules 2210 and 3110.
- Strong analytical, organizational, and written communication skills.
- Ability to independently evaluate risk and exercise sound regulatory judgment.
Preferred Qualifications:
- Experience supporting electronic communications surveillance programs within a broker-dealer or dual registrant environment.
- Prior supervisory principal experience.
- Experience with Global Relay or similar communications surveillance platforms.
- Familiarity with off-channel communications governance and surveillance.
- Experience performing trend analysis, reporting, and risk assessments.
- Insurance Licensing/Life & Health experience.
The base pay for this position is generally between $115,000 and $130,000. 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.
The Compliance Officer serves as a senior individual contributor within Wealth Compliance, providing regulatory oversight of the Firm's electronic communications surveillance program. The role is responsible for reviewing and investigating escalated communications, assessing conduct and supervisory risk, supporting off-channel communications oversight, and partnering with business and compliance leaders to identify emerging risks and trends.
- Electronic Communication Review
- Review and disposition escalated electronic communications identified through the Firm's surveillance program.
- Conduct deeper reviews into potentially inappropriate communications, sales practice concerns, conduct issues, and supervisory matters.
- Partner with field leaders, supervisory principals, and Compliance stakeholders to gather facts, assess risk, and determine appropriate resolution.
- Support oversight of off-channel communications submissions, including review of repatriated communications and identification of emerging risks and trends.
- Identify themes, control gaps, and supervisory concerns and escalate matters as appropriate.
- Assist with thematic reviews, branch inspection support, and other supervisory initiatives.
- Contribute to surveillance reporting, metrics, and management information.
- Support enhancement of surveillance lexicons, monitoring scenarios, procedures, and controls.
- Provide guidance regarding regulatory requirements applicable to electronic communications and supervision.
Qualifications:
- Bachelor's Degree and 5 years' experience OR High School Diploma or GED/Equivalent and 9 years' experience in Compliance, Legal, or Audit
- FINRA Series 24 license required
- 3-5+ years of broker-dealer and/or RIA compliance, supervision, or risk experience.
- Experience conducting investigations, supervisory reviews, or surveillance reviews.
- Working knowledge of FINRA communications and supervision requirements, including Rules 2210 and 3110.
- Strong analytical, organizational, and written communication skills.
- Ability to independently evaluate risk and exercise sound regulatory judgment.
Preferred Qualifications:
- Experience supporting electronic communications surveillance programs within a broker-dealer or dual registrant environment.
- Prior supervisory principal experience.
- Experience with Global Relay or similar communications surveillance platforms.
- Familiarity with off-channel communications governance and surveillance.
- Experience performing trend analysis, reporting, and risk assessments.
- Insurance Licensing/Life & Health experience.
The base pay for this position is generally between $115,000 and $130,000. 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.
See All 10 Compliance Officer Jobs in North Carolina
Find roles in North Carolina that match your experience and apply in just a few clicks.
Find Compliance Officer JobsCompliance Officer Jobs by City in North Carolina
Where North Carolina roles are concentrated, by current openings.
Compliance Officer Job Market in North Carolina
A snapshot from current North Carolina openings, updated as new roles post.
Who's Hiring
Top Industries Hiring
- Manufacturing
- Distribution & Wholesale
- Banking & Financial Services
What North Carolina Employers Look For
The qualifications that appear most often in compliance officer jobs across North Carolina.
- Bachelor's degree in finance, law, business, or a related field required
- Knowledge of relevant regulations such as SEC, FINRA, HIPAA, or FDA requirements
- Certified Compliance and Ethics Professional or similar certification preferred
- Three or more years of experience in a compliance, audit, or regulatory affairs role
- Strong written communication skills for policy drafting and regulatory reporting
- Proficiency with compliance management software and document control systems
Compliance Officer Jobs in North Carolina: Frequently Asked Questions
How do you become a compliance officer in North Carolina?
Most compliance officer roles in North Carolina require a bachelor's degree in finance, law, healthcare administration, or a related field, followed by experience in a regulated industry. While North Carolina does not issue a general state compliance license, employers in financial services often expect FINRA-required registrations, and healthcare compliance roles frequently value the Certified in Healthcare Compliance credential from the Compliance Certification Board. Building experience in audit, legal, or regulatory affairs is the most direct path.
How much do compliance officers make in North Carolina?
Compliance officers in North Carolina earn a median of about $78,500 a year, based on May 2025 Bureau of Labor Statistics wage data, ranging from around $45,690 for the lowest 10% to over $131,180 for the top 10%. Pay rises with experience, specialty, and employer.
Which companies hire compliance officers in North Carolina?
Employers hiring compliance officers in North Carolina right now include FujiFilm, LIS Solutions, and Pratt & Whitney, based on current listings on Migrate Mate as of November 2026. North Carolina's dense concentration of major banks in Charlotte and large health systems and pharmaceutical firms in the Research Triangle creates consistent openings across both sectors throughout the year.
Which North Carolina cities have the most compliance officer jobs?
Raleigh, Morrisville, and Asheboro have the most compliance officer openings in North Carolina. Charlotte drives the highest volume through its status as a major U.S. banking hub, while Raleigh and Durham draw heavily from the Research Triangle's pharmaceutical, biotech, and large health system employers, making smaller surrounding communities like Cary and Morrisville active markets as well.
Are there remote compliance officer jobs in North Carolina?
Yes, and more than many fields, since compliance work is largely desk-based, analytical, and documentation-driven. About 57% of compliance officer openings tied to North Carolina are remote or hybrid as of November 2026, reflecting how well the role adapts to distributed work. Policy review, regulatory monitoring, and training development are the functions most commonly performed fully remotely.
How can I get hired as a compliance officer in North Carolina with little or no experience?
The most realistic entry path is a compliance analyst or compliance coordinator role, which large North Carolina employers in banking and healthcare regularly fill with candidates coming from adjacent positions such as auditing, legal support, or risk operations. Major Charlotte-area financial institutions and Research Triangle health systems often post junior compliance roles that prioritize relevant coursework or internship experience. Earning a foundational certification such as the Certified Compliance and Ethics Professional gives candidates a measurable edge over other applicants without direct experience.
Where can I find and apply to compliance officer jobs in North Carolina?
You can find and apply to compliance officer jobs in North Carolina on Migrate Mate, which lists current North Carolina openings. Find roles that fit your experience and specialization, then apply directly to the employers posting them.
See All 10 Compliance Officer Jobs in North Carolina
Find roles in North Carolina that match your experience and apply in just a few clicks.
Find Compliance Officer Jobs