Risk Program Manager/Marketing Compliance - FINRA/Wealth Products
Hybrid - Los Angeles, NYC, Possible Remote
WHAT IS THE OPPORTUNITY?
The Risk Program Manager works with Business Units across Marketing and Digital Channels to support the execution, operation, and ongoing maintenance of the division's Risk & Compliance Program. Works with the 1LOD, 2LOD and 3LOD partners to ensure alignment of Risk Management Framework and compliance with Heightened risk management requirements.
Marketing and Digital Engagement (MADE)
As a member of Marketing and Digital Engagement, you will have an exceptional opportunity to help grow your career while driving change across many facets of the business. The team is passionately focused on building our brand, supporting banking products and finding innovative ways to engage and retain clients.
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WHAT WILL YOU DO?
- Responsible for promoting risk awareness across the Division
- Stays abreast on reporting standards, department reporting requirements, and bank system changes/enhancements
- Operates as a point of contact for the division by responding to internal inquiries regarding policies, procedures and regulatory requirements
- Researches a wide variety of topics and issues including emerging risks & trends, and risk management best practices; summarizes and communicates findings with the team
- Works collaboratively within the division to coordinate risk management and measurement activities
- Performs and coordinates the execution of all risk related activities across area(s) of specialization to ensure consistency throughout managed Divisions.
- Participate and provides documentation in Audits/Exams and other reviews as needed
- Assists, guides, and mentors team members
- Develops and socializes division risk management reports and/or dashboards, leveraging existing and/or developing new reporting as needed; ensures alignment of management reports with 2LOD and other applicable requirements (e.g., regulatory).
Division Specification
Marketing & Digital Engagement (MADE)
- Supports risk management and compliance objectives as a key partner and trusted advisor to business units, ensuring current and future state processes, programs, applications, and vendors have privacy and security included by design
- Documents root cause analyses on identified data related risk events to recommend improvements to prevent these risk events from re-occurring in future
- Documents remediation plans and track through completion to address any caps in the mitigating measures identified
- Conduct risk and control assessments across assigned technology and data domains
- Supports the adoption of key data related policies and standards relevant to Marketing and Digial Engagement
- Investigates data trends and identify risk mitigation strategies
- Stays current on industry best-practices and regulatory expectations, rules, and changes
WHAT DO YOU NEED TO SUCCEED
Must-Have
- Bachelor's Degree or equivalent work experience
- Minimum 6 years of financial services or an equivalent, regulated industry experience
- Minimum 6 years in compliance or risk management
- Minimum 5 years' experience managing medium to large projects
Skills and Knowledge
- Proficiency in MS Office, Project, and SharePoint
- Demonstrated experience with regulations impacting consumer banking and/or business unit functions preferred
- Demonstrated strong and sound decision making abilities about compliance risks and recommended corrective action.
- Demonstrated ability to think critically and facilitate change through collaborative efforts. Strong interpersonal, verbal, and written communication skills.
- Self-motivation, discipline, focus, the ability to structure and present work. Proven record of delivering high quality results within strict deadlines.
- Must have the ability to multitask and prioritize concurrent initiatives
Compensation
Starting base salary: $92,114 - $156,880 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*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.
Benefits and Perks
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks.
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.
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