Compliance Analyst - City National Bank
Los Angeles, CA
About the Job
COMPLIANCE ANALYST
WHAT IS THE OPPORTUNITY?
The Compliance Analyst will be responsible for monitoring, oversight and independent review and assessment of the Compliance framework for the Division. Ensure processes are in place for the appropriate oversight, tracking and reporting of compliance program risks that includes an internal control structure, new products, training, regulatory change management, risk assessments, issues management, and monitoring and reporting.
Compliance 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 Compliance Risk Management team. The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth.
What you will do
+ Assist in the development, administration, and monitoring of programs that ensure the bank's compliance with laws, regulations, and rules
+ Evaluate the effectiveness of existing processes and recommend new processes that most effectively anticipate, manage, and reduce risk to the business.
+ Assist in Risk Assessment to identify compliance risk exposure and help the organization prioritize compliance risks.
+ Supports the timely and effective resolution of complex issues identified through monitoring and testing.
+ Develop and communicate recommendations that support adherence to regulations, industry best practices and internal risk programs
+ Partners with other business units on complex compliance matters.
+ Maintain subject matter expertise and understanding of the laws, rules and regulations with which the business must comply and an awareness of issues of recent regulatory focus.
+ Escalate and measure compliance risk issues to leadership and the lines of business, as well as the 1st and 2nd Lines of Defense, as necessary.
+ Assess compliance issues presented through complex new/revised product and service offerings and work closely with senior leaders of business units to plan a response.
+ Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies.
+ Maintain CNB internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
Must-Have*
+ Bachelor's Degree or equivalent experience
+ Minimum 4 years of banking experience
+ Minimum 3 years of risk management or compliance experience
+ Minimum 3 years of Advanced level experience in Microsoft Office skills, including Word, Excel, Access and PowerPoint
Skills and Knowledge
+ Knowledge of 12 CFR 9 and Delaware Title 12 is highly desirable
+ 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.
+ Ability to work well in a time-sensitive environment and handle a variety of matters or projects simultaneously.
+ Proficiency in analyzing diverse business functions and processes to identify key risks and demonstrated success with implementing control improvement recommendations.
+ Ability to interact with federal regulatory agencies.
+ Proficiency of Microsoft Office applications such as Excel, Access, Word and PowerPoint. Tableau experience preferred
+ 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.
+ Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs.
+ For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM).
+ For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser.
+ For Wealth Management Compliance roles, experience working within a Compliance Investment Management role.
Compensation
Starting base salary: $34.55 - $55.19 per hour. 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 (https://image.emails.cnb.com/lib/fe5e15707c640c78771c/m/10/cbedd856-c2fc-491b-a625-3ab7a0fd9a65.pdf) .
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 be at the heart of our company today. City National is a subsidiary of Royal Bank of Canada, one of North America’s leading diversified financial services companies.
#LI-JR1
#CR-JR
WHAT IS THE OPPORTUNITY?
The Compliance Analyst will be responsible for monitoring, oversight and independent review and assessment of the Compliance framework for the Division. Ensure processes are in place for the appropriate oversight, tracking and reporting of compliance program risks that includes an internal control structure, new products, training, regulatory change management, risk assessments, issues management, and monitoring and reporting.
Compliance 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 Compliance Risk Management team. The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth.
What you will do
+ Assist in the development, administration, and monitoring of programs that ensure the bank's compliance with laws, regulations, and rules
+ Evaluate the effectiveness of existing processes and recommend new processes that most effectively anticipate, manage, and reduce risk to the business.
+ Assist in Risk Assessment to identify compliance risk exposure and help the organization prioritize compliance risks.
+ Supports the timely and effective resolution of complex issues identified through monitoring and testing.
+ Develop and communicate recommendations that support adherence to regulations, industry best practices and internal risk programs
+ Partners with other business units on complex compliance matters.
+ Maintain subject matter expertise and understanding of the laws, rules and regulations with which the business must comply and an awareness of issues of recent regulatory focus.
+ Escalate and measure compliance risk issues to leadership and the lines of business, as well as the 1st and 2nd Lines of Defense, as necessary.
+ Assess compliance issues presented through complex new/revised product and service offerings and work closely with senior leaders of business units to plan a response.
+ Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies.
+ Maintain CNB internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
Must-Have*
+ Bachelor's Degree or equivalent experience
+ Minimum 4 years of banking experience
+ Minimum 3 years of risk management or compliance experience
+ Minimum 3 years of Advanced level experience in Microsoft Office skills, including Word, Excel, Access and PowerPoint
Skills and Knowledge
+ Knowledge of 12 CFR 9 and Delaware Title 12 is highly desirable
+ 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.
+ Ability to work well in a time-sensitive environment and handle a variety of matters or projects simultaneously.
+ Proficiency in analyzing diverse business functions and processes to identify key risks and demonstrated success with implementing control improvement recommendations.
+ Ability to interact with federal regulatory agencies.
+ Proficiency of Microsoft Office applications such as Excel, Access, Word and PowerPoint. Tableau experience preferred
+ 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.
+ Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs.
+ For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM).
+ For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser.
+ For Wealth Management Compliance roles, experience working within a Compliance Investment Management role.
Compensation
Starting base salary: $34.55 - $55.19 per hour. 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 (https://image.emails.cnb.com/lib/fe5e15707c640c78771c/m/10/cbedd856-c2fc-491b-a625-3ab7a0fd9a65.pdf) .
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 be at the heart of our company today. City National is a subsidiary of Royal Bank of Canada, one of North America’s leading diversified financial services companies.
#LI-JR1
#CR-JR
Source : City National Bank