Compliance Risk Specialist

3 weeks ago

New York, New York, United States City National Bank Full time
Job Summary

The Compliance Risk Specialist will be responsible for monitoring and overseeing the Compliance framework for the Division. This includes ensuring processes are in place for the appropriate oversight, tracking, and reporting of compliance program risks. The ideal candidate will have a strong understanding of regulatory requirements and be able to analyze complex data to identify potential risks.

Key Responsibilities

- Assist in the development, administration, and monitoring of programs that ensure the bank's compliance with laws, regulations, and rules
- Evaluate the effectiveness of existing processes and recommend new processes that most effectively anticipate, manage, and reduce risk to the business
- Assist in Risk Assessment to identify compliance risk exposure and help the organization prioritize compliance risks
- Supports the timely and effective resolution of complex issues identified through monitoring and testing
- Develop and communicate recommendations that support adherence to regulations, industry best practices, and internal risk programs
- Partners with other business units on complex compliance matters
- Maintain subject matter expertise and understanding of the laws, rules, and regulations with which the business must comply and an awareness of issues of recent regulatory focus
- Escalate and measure compliance risk issues to leadership and the lines of business, as well as the 1st and 2nd Lines of Defense, as necessary
- Assess compliance issues presented through complex new/revised product and service offerings and work closely with senior leaders of business units to plan a response
- Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies

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, including Word, Excel, Access, and PowerPoint

Preferred Qualifications

- Demonstrated experience with regulations impacting consumer banking 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
- Ability to interact with federal regulatory agencies
- 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 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

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