Manager Compliance Program Senior - City National Bank
Los Angeles, CA
About the Job
MANAGER COMPLIANCE PROGRAM SENIOR
WHAT IS THE OPPORTUNITY?
The Manager of Compliance Program is responsible for leading a team of compliance professionals in developing, implementing, and enhancing the CNB compliance program. The role is responsible for overseeing the continued improvement of: the compliance issues management program, regulatory change management program, compliance GRC oversight, board and management reporting, compliance governance, key risk indicators, compliance training, compliance risk assessment, and compliance policies and procedures. The role will interact across the compliance department as well as with other second line partners and front line functions.
What you will do
+ Enhance compliance issues management program to focus on identification of front line compliance issues, tracking and workflow capabilities, and compliance oversight.
+ Enhance regulatory change management program to develop a more comprehensive and integrated approach.
+ Develop and oversee compliance GRC workflow management.
+ Oversee compliance department’s management and board reporting and escalation processes.
+ Develop strong compliance governance routines including committee structures and clear connections to Risk Management Framework.
+ Oversee, develop and track various compliance monitoring metrics, key performance indicators, key risk indicators, and key control indicators to ensure consistent framework, standards, and risk tolerances are followed.
+ Develop risk appetites to measure and monitor compliance risks.
+ Work with technology groups to develop reports to aggregate control breakdowns in the Bank’s compliance management system.
+ Work with IHC to aggregate and report upon an independent compliance risk assessment.
+ Develop and oversee sound policy and procedure governance model.
+ Review communications and procedures and provide actionable advice to effect compliance with regulatory and bank standards.
+ Collaborate with subject matter experts within the Compliance and Legal Departments.
+ Continuously evaluate both business and compliance processes and procedures to drive effectiveness and efficiencies.
+ Additional projects and tasks based on business and department needs.
+ Perform any additional project and tasks as may be required by the Chief Compliance Officer.
+ Maintain a broad compliance skill set, with particular focus on consumer regulations and best practices for the management of compliance risk.
Must-Have*
+ Bachelor's Degree or equivalent
+ Minimum of 10 years banking and compliance experience at a financial institution with extensive understanding of banking, brokerage and investment regulations.
+ Minimum of 10 years working for financial institutions in a compliance, audit or operational risk management capacity.
+ Minimum 3 years of experience with using data/MIS to develop reports and analysis in Excel and other MS Office applications.
Skills and Knowledge
+ Strong technical knowledge of banking.
+ Strong knowledge of compliance program expectations within large banking organizations.
+ Strong quantitative background.
+ Ability to influence/motivate others to produce desired results.
+ Ability to operate effectively in a fast paced environment.
+ Strong ability to work in a complex team environment requiring exceptional communication, project management and organizational skills.
+ Experience in enhancing/managing a compliance risk management program in a fast-growth environment.
+ Working knowledge of bank technology and operating systems.
+ Experience in large project management.
+ Excellent analytical, verbal and written communication skills.
+ Excellent attention to detail and follow-up skills.
+ Proficient in Microsoft Office (Word, Excel, PowerPoint, Access, Outlook).
+ CRCM or similar designation preferred.
+ 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: $141,830 - $263,408 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 (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 drive phenomenal growth 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 Manager of Compliance Program is responsible for leading a team of compliance professionals in developing, implementing, and enhancing the CNB compliance program. The role is responsible for overseeing the continued improvement of: the compliance issues management program, regulatory change management program, compliance GRC oversight, board and management reporting, compliance governance, key risk indicators, compliance training, compliance risk assessment, and compliance policies and procedures. The role will interact across the compliance department as well as with other second line partners and front line functions.
What you will do
+ Enhance compliance issues management program to focus on identification of front line compliance issues, tracking and workflow capabilities, and compliance oversight.
+ Enhance regulatory change management program to develop a more comprehensive and integrated approach.
+ Develop and oversee compliance GRC workflow management.
+ Oversee compliance department’s management and board reporting and escalation processes.
+ Develop strong compliance governance routines including committee structures and clear connections to Risk Management Framework.
+ Oversee, develop and track various compliance monitoring metrics, key performance indicators, key risk indicators, and key control indicators to ensure consistent framework, standards, and risk tolerances are followed.
+ Develop risk appetites to measure and monitor compliance risks.
+ Work with technology groups to develop reports to aggregate control breakdowns in the Bank’s compliance management system.
+ Work with IHC to aggregate and report upon an independent compliance risk assessment.
+ Develop and oversee sound policy and procedure governance model.
+ Review communications and procedures and provide actionable advice to effect compliance with regulatory and bank standards.
+ Collaborate with subject matter experts within the Compliance and Legal Departments.
+ Continuously evaluate both business and compliance processes and procedures to drive effectiveness and efficiencies.
+ Additional projects and tasks based on business and department needs.
+ Perform any additional project and tasks as may be required by the Chief Compliance Officer.
+ Maintain a broad compliance skill set, with particular focus on consumer regulations and best practices for the management of compliance risk.
Must-Have*
+ Bachelor's Degree or equivalent
+ Minimum of 10 years banking and compliance experience at a financial institution with extensive understanding of banking, brokerage and investment regulations.
+ Minimum of 10 years working for financial institutions in a compliance, audit or operational risk management capacity.
+ Minimum 3 years of experience with using data/MIS to develop reports and analysis in Excel and other MS Office applications.
Skills and Knowledge
+ Strong technical knowledge of banking.
+ Strong knowledge of compliance program expectations within large banking organizations.
+ Strong quantitative background.
+ Ability to influence/motivate others to produce desired results.
+ Ability to operate effectively in a fast paced environment.
+ Strong ability to work in a complex team environment requiring exceptional communication, project management and organizational skills.
+ Experience in enhancing/managing a compliance risk management program in a fast-growth environment.
+ Working knowledge of bank technology and operating systems.
+ Experience in large project management.
+ Excellent analytical, verbal and written communication skills.
+ Excellent attention to detail and follow-up skills.
+ Proficient in Microsoft Office (Word, Excel, PowerPoint, Access, Outlook).
+ CRCM or similar designation preferred.
+ 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: $141,830 - $263,408 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 (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 drive phenomenal growth 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