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About the Role
The Compliance Analyst will monitor, oversee, and independently review the Compliance framework for Wealth Management Broker-Dealer Entities. This role ensures processes are in place for oversight, tracking, and reporting of compliance program risks, including internal controls, new products, training, regulatory change management, risk assessments, issues management, and monitoring.
Responsibilities
- Assist in the development, administration, and monitoring of programs to ensure Broker-Dealer Entities' compliance with laws, regulations, and rules.
- Evaluate existing processes and recommend new ones to anticipate, manage, and reduce business risk.
- Assist in Risk Assessment to identify compliance risk exposure and prioritize risks.
- Provide guidance on licensing and registration matters.
- Support timely and effective resolution of complex issues identified through monitoring.
- Develop and communicate recommendations for adherence to regulations, industry best practices, and internal risk programs.
- Partner with other business units on complex compliance matters.
- Maintain subject matter expertise on relevant laws, rules, and regulations, and be aware of recent regulatory focus.
- Escalate and measure compliance risk issues to leadership, lines of business, and the 1st and 2nd Lines of Defense.
- Assess compliance issues related to new or revised products and services, and plan responses with business unit leaders.
- Adhere to applicable compliance/operational risk controls per Company or regulatory standards and policies.
- Maintain Wealth Management Broker-Dealer Entities internal control standards, including timely implementation of audit points and addressing issues raised by external regulators.
Requirements
- 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 (Word, Excel, Access, PowerPoint).
- Series 7 is preferred.
- Demonstrated experience with regulations impacting broker-dealer clients and/or business unit functions is preferred.
- Demonstrated strong and sound decision-making abilities regarding compliance risks and corrective actions.
- Ability to work in a time-sensitive environment and handle multiple matters or projects simultaneously.
- Proficiency in analyzing diverse business functions and processes to identify key risks.
- Demonstrated success in implementing control improvement recommendations.
- Proficiency in Microsoft Office applications (Excel, Access, Word, PowerPoint). Tableau experience is preferred.
- Excellent organizational and analytical skills.
- Ability to communicate clearly and professionally with all levels of an organization.
- Excellent written and verbal communication skills.
- Effective interpersonal skills.
- Proficiency in multi-tasking and prioritizing projects.
- Excellent time management skills and 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.
Skills
- Microsoft Office
- Word
- Excel
- Access
- PowerPoint
- Tableau
- Risk management
- Compliance
- Analytical skills
- Organizational skills
- Communication skills
- Interpersonal skills
- Multi-tasking
- Prioritization
- Time management
- Regulatory analysis
Location
- City National location
Work Type
- Full-time
Experience Level
- 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
Education Level
- Bachelor's Degree or equivalent
Salary/Compensations
- $70,000 - $120,000 per year
- Eligible for bonus and/or commissions
Benefits
- Comprehensive healthcare coverage (Medical, Dental, Vision)
- Generous 401(k) company matching contribution
- Career Development through Tuition Reimbursement and internal upskilling/training
- Valued Time Away benefits (vacation, sick, volunteer time)
- Specialized health and family planning benefits (fertility, cancer, diabetes, musculoskeletal support)
- Career Mobility support
- Colleague Resource Groups
About the Company
- City National Bank was founded in 1954 by entrepreneurs for entrepreneurs.
- The legacy of integrity, community, and unparalleled client relationships continues today.
- City National is a subsidiary of Royal Bank of Canada, a leading diversified financial services company in North America.
Equal Opportunity
- City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged.
- 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.