Wealth Management Chief Compliance Officer
Responsible for the regulatory and compliance issues relating to all of City National Bank's Wealth Management areas including its trust and fiduciary businesses, registered investment advisor, proprietary mutual funds, and broker-dealers. This position will also have oversight for compliance of the non-bank affiliated investment advisors. Provide senior level leadership and lead a team of compliance professionals. Ability to drive compliance performance, aligning and coordinating priorities and activities with other risk management functions and business lines
Minimum 10 years of investment compliance/broker dealer/fiduciary/trust experience in a banking or investment environment
Minimum 5 years' experience in a Project Management or leadership role building and managing teams
FINRA Series 7 and 24 license
Skills and Knowledge
Must possess excellent verbal and written communications skills sufficient to interact with all levels of Adviser and Fund Personnel, clients, vendors, etc.
Substantial broad-based knowledge and experience in applying laws and regulations, designing, managing and overseeing compliance programs and processes and handling regulatory matters
Familiarity with high net worth clients, trust and family offices, brokerage, asset management and investment advisory
Must have full understanding of Regulation 9, FINRA Rules, MSRB Rules, OCC Retail Non-Deposit Investment Products, Investment Company Act of 1940, Investment Advisors Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934
Self-motivated, drive to excel, ability to handle and resolve multiple complex issues and drive change
Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled
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