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Compliance Analyst Senior SAFE ACT

City National Bank

This is a Full-time position in Los Angeles, CA posted November 23, 2021.

COMPLIANCE ANALYST SENIOR SAFE
WHAT IS THE OPPORTUNITY?
This position is plays a critical role in the SAFE Act compliance program.

The main focus of the job is to perform SAFE Act registration activities, provide updates to the Bank’s policies and procedures for SAFE Act and employee training for SAFE Act, as needed.

This position will make recommendations concerning the financial responsibility, character, and general fitness of prospective SAFE Act registered individuals.

This position is responsible for identifying risks and controls, monitors the business unit control environment to evaluate effectiveness of its compliance controls, provide surveillance for and implementation of new and changing laws and regulations, related to SAFE Act and associated compliance requirements, and escalation and implement remediation of compliance issues.

Risk Management Division
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.

WHAT WILL YOU DO?

  • Leading employees through the SAFE Act registration process including, processing employee information to initiate registration, identifying positions requiring registration, ensuring employees in such positions are registered, reviewing employee information, tracking registrations, reviewing background/credit reports, and administering the Bank’s NMLS registration process.
  • Registering colleagues and dual-hatted financial advisors and maintaining the Bank’s compliance with SAFE Act and associated activities.
  • Reviewing and processing employee disclosures and updating registrations.
  • Research line of business questions and responding to department SAFE Act compliance questions
  • Conducting and documenting reviews and addressing findings with employees and supervisors.
  • Provide guidance on regulations, requirements, and Bank procedures.
  • Updating employee training as needed
  • Annual registration renewals.
  • Maintain SAFE Act procedures.
  • Complies fully with all Bank Compliance policies and procedures as well as all regulatory requirements (e.g.

    Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code of Conduct, etc.).

  • Completes all required training.

WHAT DO YOU NEED TO SUCCEED

Must-Have*

  • Associate’s Degree
  • Minimum 3 years compliance experience with processing SAFE Act or FINRA registrations
  • Minimum 3 years in mortgage banking, consumer finance, retail banking compliance or legal department

Skills and Knowledge

  • Must possess good working compliance knowledge of compliance regulations for lending and other banking regulations and relevant work experience with regulations that includes the ability to understand regulations and apply them to business practices and the bank’s products.
  • College degree preferred.
  • Must have in depth understanding of the SAFE Act or FINRA registration rules.
  • Ability to influence/motivate others to produce desired results.
  • Ability to operate effectively in a fast paced environment.
  • Excellent organizational and analytical skills.
  • Ability to communicate clearly and professionally with all levels of an organization.
  • Excellent written and verbal communications skills.
  • Effective interpersonal skills.
  • Proficiency in multi-tasking and prioritizing projects.
  • Excellent time management skills and be accustomed to working with deadlines.

*To be considered for this position you must meet at least these basic qualifications
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.

INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT
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.

ABOUT CITY NATIONAL
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.