Compliance Manager

1 week ago

Los Angeles, California, United States City National Bank Full time
About the Role

We are seeking a highly skilled Compliance Manager to join our Commercial Banking team at City National Bank. As a key member of our risk management function, you will be responsible for advising, overseeing, and challenging commercial banking focused front line business units on matters of regulatory compliance.

Key Responsibilities
  • Manage the commercial compliance team and create metrics for adherence to guidelines by business units and ensure corrective actions are taken when risk appetites are exceeded.
  • Engage and partner with commercial front line risk functions to provide advice related to development and evolution of respective programs.
  • Develop appropriate oversight routines of commercial front line compliance programs.
  • When necessary, challenge front line commercial compliance programs on identified programmatic deficiencies.
  • Implement any corrective actions or risk mitigation measures and track, report and validate corrective actions.
  • Challenge and aggregate front line risk assessments and report results/recommendations to senior management.
  • Serve as liaison with regulators during commercial focused regulatory examinations.
  • Manage assigned staff and conduct appropriate coaching to colleagues on interpretation and application of regulatory requirements to business processes.
  • Provide oversight and analysis of Volcker rule metrics within commercial banking trading desks.
  • Ensure federal and state specific criteria for disclosures are executed properly.
  • Review and document procedures to ensure secure maintenance and quality of records.
  • Maintain and enhance policies and procedures designed to ensure compliance with the bank's regulatory requirements.
  • Work collaboratively with all departments by providing compliance guidance and direction for continued best practices and ensuring adherence to policies and procedures.
  • Maintain proficiency in software tools necessary to complete requisite analysis and collaborate with software vendors as needed.
  • Comply fully with all Bank Compliance policies and procedures as well as all regulatory requirements (e.g. Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code of Conduct, etc.).
  • Responsible and accountable for appropriate quality controls related to the financial products the bank provides, the services the bank delivers, the processes employed and the incentives with which colleagues are awarded.
  • All City National products, financial solutions and services are to be provided ethically and with integrity in a manner that is consistent with the client-first culture and values embodied in City National's PRIDE statement.
Requirements
  • Bachelor's Degree or equivalent.
  • Minimum 10+ years of lending and regulatory reporting in a data management environment.
  • Minimum 10 years of management experience in compliance, risk management or audit.
Preferred Qualifications
  • Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor (CFSA) designation a plus.
  • Advanced knowledge of banking compliance laws and regulations.
  • 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 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.
Compensation

Starting base salary: $141,830 - $263,408 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.

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