Senior Compliance Analyst
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.
- Support the existing Registered Investment Advisor (RIA) surveillance program
- Conduct risks assessments and testing of RIA compliance programs
- Perform Monitoring & Surveillance over business processes and controls
- Analyze current RIA Compliance functions and suggest enhancements and standardization, where appropriate.
- Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
- Review, draft and implement compliance procedures
- Support advisors by providing guidance on RIA policy and procedures questions
- Execute desktop procedures for RIA surveillance and other Investment Advisor Representative related activities
- 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.
- Minimum 5 years compliance experience with a financial institution.
- Minimum 2 years of experience with Rule 206(4)-7 testing
Skills and Knowledge
- Bachelor's degree from a four-year college or university is preferred. Equivalent combination of education and significant relevant work experience may be considered.
- 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
- Prior experience with Rule 206(4)-7 testing
- Excellent verbal and written communication skills
- FINRA Registrations: S7, S66 (or 63 and 65) a plus
- Strong abilities in analytical thinking, problem solving, research, and time management
- Proficiency with Windows programs: Excel, Outlook, Word
Represents basic qualifications for the position. To be considered for this position you must at least meet the basic qualifications.
City National Bank is an Equal Opportunity Employer - Affirmative Action Employer, Minorities/Females/Individuals with Disabilities/Veterans.
Note: This 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.
Note: Candidates should be advised that City National Bank does not pay interviewee travel expenses or relocation expenses for candidates who are hired unless previously agreed.
Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled
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