Sr. Compliance Specialist, Wealth Management at City National Bank Los Angeles, CA 90189
WHAT IS THE OPPORTUNITY?The Compliance Specialist establishes and implements an effective compliance program to ensure regulatory compliance for Wealth Management products.
Responsible for monitoring, discovering, interpreting, enhancing, updating, developing, tracking and implementing pertinent and effective compliance policies and procedures related to operations initiatives within the internal and external compliance environment.
Risk Management DivisionThis is a great opportunity to grow your career with a stable and expanding organization as a member of City Nationals Risk Management team.
The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth.
WHAT WILL YOU DO?Monitors, analyzes and escalates issues and concerns related to client activity with an emphasis on Volcker issues identification utilizing sound and current compliance industry standards and practices for Volckerprogram foundations.
Functions as an internal consultant to colleagues throughout City National Bank (CNB) related to operational compliance issues and concerns, utilizing their internal and external organizational agility to ascertain and deliver sound interpretation and advice.
Works within the framework of the established CNS WM Compliance Testing Program.
Acts as tracking and reporting agent for the Program to include results, in progress, future scheduling and open items.
This responsibility would include performing their own assigned testing as well as Continuing Education tracking of WM as a whole.
Functions as a conduit for identifying and recommending improvements to existing internal operational compliance policy and procedure while recognizing opportunities for enhancement within the full scope of CNBs compliance foundation.
WHAT DO YOU NEED TO SUCCEEDMust-Have Bachelors Degree Minimum 5 years of experience with bank operations and/or compliance operations Minimum 5 years of experience with risk management and/or Compliance policies and proceduresSkills and KnowledgeA FINRA Series 7 and/or 24 is highly desirableDemonstrated comprehensive knowledge in branch operations, client relationship and risk management with a strong working knowledge of bank back office processes and systems required.
Thorough understanding of applicable laws and banking regulations required.
Proven leadership skills mixed with a propensity towards strong organization and time management skills required.
Must possess the ability to recognize and communicate enhancement opportunities along with developing creative and sound solutions within assigned duties.
Excellent oral and written communication skills with all levels of management required.
Computer proficiency in Microsoft applications of Outlook, Word, Excel, PowerPoint, Access and Project required.
.
Estimated Salary: $20 to $28 per hour based on qualifications.
Responsible for monitoring, discovering, interpreting, enhancing, updating, developing, tracking and implementing pertinent and effective compliance policies and procedures related to operations initiatives within the internal and external compliance environment.
Risk Management DivisionThis is a great opportunity to grow your career with a stable and expanding organization as a member of City Nationals Risk Management team.
The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth.
WHAT WILL YOU DO?Monitors, analyzes and escalates issues and concerns related to client activity with an emphasis on Volcker issues identification utilizing sound and current compliance industry standards and practices for Volckerprogram foundations.
Functions as an internal consultant to colleagues throughout City National Bank (CNB) related to operational compliance issues and concerns, utilizing their internal and external organizational agility to ascertain and deliver sound interpretation and advice.
Works within the framework of the established CNS WM Compliance Testing Program.
Acts as tracking and reporting agent for the Program to include results, in progress, future scheduling and open items.
This responsibility would include performing their own assigned testing as well as Continuing Education tracking of WM as a whole.
Functions as a conduit for identifying and recommending improvements to existing internal operational compliance policy and procedure while recognizing opportunities for enhancement within the full scope of CNBs compliance foundation.
WHAT DO YOU NEED TO SUCCEEDMust-Have Bachelors Degree Minimum 5 years of experience with bank operations and/or compliance operations Minimum 5 years of experience with risk management and/or Compliance policies and proceduresSkills and KnowledgeA FINRA Series 7 and/or 24 is highly desirableDemonstrated comprehensive knowledge in branch operations, client relationship and risk management with a strong working knowledge of bank back office processes and systems required.
Thorough understanding of applicable laws and banking regulations required.
Proven leadership skills mixed with a propensity towards strong organization and time management skills required.
Must possess the ability to recognize and communicate enhancement opportunities along with developing creative and sound solutions within assigned duties.
Excellent oral and written communication skills with all levels of management required.
Computer proficiency in Microsoft applications of Outlook, Word, Excel, PowerPoint, Access and Project required.
.
Estimated Salary: $20 to $28 per hour based on qualifications.
|
|
 | |
