The Compliance Analyst will be responsible for monitoring, oversight and independent review and assessment of the Compliance framework for the Wealth Management Broker-Dealer Entities. 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.
Required Qualifications*- Bachelor's Degree or equivalent
- 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
Additional Qualifications
- Series 7 is preferred
- Demonstrated experience with regulations impacting broker-dealer clients 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.
- 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 federal, state and administrative regulatory agencies, including exam management and other regulatory affairs.
- For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser.
WHAT'S IN IT FOR YOU?
CompensationStarting base salary: $70,000 - $120,000 per year Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
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 including:
- Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
- Generous 401(k) company matching contribution
- Career Development through Tuition Reimbursement and other internal upskilling and training resources
- Valued Time Away benefits including vacation, sick and volunteer time
- Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
- Career Mobility support from a dedicated recruitment team
- Colleague Resource Groups to support networking and community engagement
ABOUT US
Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America’s leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at
About Us.
INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.
Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.