Compliance Specialist Senior WM

• 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 CNB 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 CNB's compliance foundation.

• Bachelor's Degree or equivalent experience
• 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 procedures

• A FINRA Series 7 and/or 24 is highly desirable
• Knowledge of 12 CFR 9 and Delaware Title 12 is a highly desirable
• Demonstrated comprehensive knowledge of bank policies, procedures and risk management.
• 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.
• 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.

• To be considered for this position you must meet at least these basic qualifications

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