City National Bank · 1 week ago
Compliance Officer Senior-Investment Advisory
New York, NY
Full-time
Onsite
Mid, Senior Level
$99K/yr - $176K/yr
7+ years expCity National Bank is a subsidiary of Royal Bank of Canada and the largest bank headquartered in Los Angeles. They are seeking a Senior Compliance Officer to oversee compliance for investment advisory services, ensuring adherence to laws and regulations while providing guidance and support to business units.
BankingFinanceFinancial Services
Responsibilities
Serve as a compliance subject matter expert for assigned areas
Review committee materials related to best execution, liquidity, derivatives, fair valuation, investment strategy and selection, proxy voting, and fiduciary investments
Provide credible challenge at committee meetings
Manage regulatory change management and participate with business areas, in addition to other support functions (Finance, Technology)
Monitor legislative/regulatory/enforcement activity and trends for impacts to business line activities
Provide compliance advice and guidance to business areas and with assigned business projects
Assist with regulatory filings such as Form ADV and CFTC reporting
Provide guidance and coaching to colleagues on interpretation and application of regulatory requirements to business processes
Develop and maintain compliance policies and standards that address key risk activities. Implement any corrective actions or risk mitigation measures and track, report and validate corrective actions
Provide support in regulatory examination, risk assessments and internal audits
Review and document procedures to ensure secure maintenance and quality of records
Comply fully with all Bank Compliance policies and procedures as well as all regulatory requirements (e.g. SEC Rule 204, SEC Rule 206, Regulation Best Interest, Code of Conduct, etc.)
Qualification
Required
Bachelor's Degree or equivalent
Minimum 7 years of compliance, regulatory compliance with respect to registered investment adviser products and services
Minimum 5 years of financial services experience
Ability to analyze complex situations and provide guidance, make recommendations, and/or escalate issues to appropriate levels of management
Ability to interact with federal regulatory agencies
Ability to operate effectively in a fast-paced environment
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
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 Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser/ and the OCC
For Wealth Management Compliance roles, experience working within a Compliance Investment Management role
Company
City National Bank
City National Bank offers a full complement of banking, trust and investment services. It is a sub-organization of City National.
1001-5000 employees
H1B Sponsorship
City National Bank has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (76)
2024 (78)
2023 (145)
2022 (93)
2021 (107)
2020 (62)
Funding
Current Stage
Public CompanyTotal Funding
unknown1978-01-13IPO
Leadership Team
Howard Hammond
CEO City National Bank
Fiyaz Khan
Senior Vice President, Structured Products
Recent News
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