(strong(Job Details:(/strong( (strong(COMPLIANCE ANALYST SENIOR
– WEALTH MANAGEMENT TRUST & FIDUCIARY(/strong((br((br((strong(WHAT IS THE OPPORTUNITY?(/strong((br((br(The Senior Analyst will assist the City National Rochdale Chief Compliance Officer in the development, monitoring and testing of the company’s Wealth Management compliance program to ensure that the rules, policies and regulations are being followed properly.
This position is involved on a day-to-day basis in interpreting and applying compliance policies and procedures to business practices.(br((br((strong(Risk Management Division(/strong((br(This is a great opportunity to grow your career with a stable and expanding organization as a member of City National’s Risk Management team.
The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth.(br((br((strong(WHAT WILL YOU DO?(/strong((br((br((ul((li(Support the existing Registered Investment Advisor (RIA) surveillance program(/li((li(Conduct risks assessments and testing of RIA compliance programs(/li((li(Perform Monitoring & Surveillance over business processes and controls(/li((li(Analyze current RIA Compliance functions and suggest enhancements and standardization, where appropriate.(/li((li(Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements(/li((li(Review, draft and implement compliance procedures(/li((li(Support advisors by providing guidance on RIA policy and procedures questions(/li((li(Execute desktop procedures for RIA surveillance and other Investment Advisor Representative related activities(/li((/ul((br((br((strong(WHAT DO YOU NEED TO SUCCEED(/strong((br((br((strong(Must-Have*(/strong((br((ul((li(Minimum 5 years of relevant work experience with a financial institution such as a registered investment adviser, broker/dealer, regulatory agency, or other financial institution.(/li((li(Minimum 5 years compliance experience with a financial institution.(/li((li(Minimum 2 years of experience with Rule 206(4)-7 testing(/li((/ul((br((strong(Skills and Knowledge(/strong((br((ul((li(Bachelor’s degree from a four-year college or university is preferred.
Equivalent combination of education and significant relevant work experience may be considered.(/li((li(In-depth knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934 and Securities Act of 1933(/li((li(Prior experience with Rule 206(4)-7 testing(/li((li(Excellent verbal and written communication skills(/li((li(FINRA Registrations: S7, S66 (or 63 and 65) a plus(/li((li(Strong abilities in analytical thinking, problem solving, research, and time management(/li((li(Proficiency with Windows programs: Excel, Outlook, Word(/li((/ul((br((br((strong(*To be considered for this position you must meet at least these basic qualifications(/strong((br(The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification.
It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.(br((br((strong(INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT(/strong((br(City National Bank is an equal opportunity employer committed to diversity and inclusion.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by law.(br((br((strong(ABOUT CITY NATIONAL(/strong((br((br(We start with a basic premise: Business is personal.
Since day one we’ve always gone further than the competition to help our clients, colleagues and community flourish.
City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues to drive phenomenal growth today.
City National is a subsidiary of Royal Bank of Canada, one of North America’s leading diversified financial services companies.(br((br(In order to be hired and work at City National Bank, you must be fully vaccinated against COVID-19.(br((br( Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled