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Compliance Testing Analyst - Wealth Management

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Job ID WMS-15578 City Los Angeles State California Additional Location Exempt/Non Exempt Exempt Shift Day Work Schedule M-F, 8-5
Job Details:


This colleague will work under the direction of the 1st line Wealth Management Compliance Division Manager and have responsibility for the development and execution of a risk-based testing program within the Wealth Management lines of business. This includes the execution and maintenance of testing performed for SEC Registered Investment Advisors and FINRA Broker Dealers. The Testing Analyst will work with the lines of business and compliance peers to establish and maintain appropriate testing, testing schedules, and status reporting of all testing activity.
Compliance Risk Management Division
This is a great opportunity to grow your career with a stable and expanding organization as a member of City National's Compliance Risk Management team. The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth.

  • Help execute regulatory compliance testing of Wealth Management entities.
  • Work with the Line of Business as well as the Compliance Manager to ensure all rules applicable to the line of business and the products supported are identified so that testing priorities can be evaluated and established.
  • Executes, organize and prioritize testing in a timely manner ensuring deliverables are achieved while maintaining accuracy.
  • Develop and document detailed testing scripts covering testing of controls evaluations and testing of transactions to assess adherence to compliance rules.
  • Prepare testing scope, work papers, and reports capturing final results of testing.
  • Work closely with other compliance and risk colleagues to ensure consistency among execution of testing and interpretation of rules.
  • Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s) and ensure testing scripts reflect such changes.
  • Prepare and potentially present reports to management regarding status of compliance testing in areas of compliance focus.
  • Determine and communicate requirements for additional first line policies and standards
  • Test compliance with policies and procedures to identify key risk control gaps and deficiencies



  • H.S. Diploma
  • Minimum 5 years of experience within financial services industry with emphasis on regulatory requirements.
  • Minimum of 3 years of experience executing testing efforts or exposure to audit, quality control or back office functions and results.
  • FINRA Series 7, 63, 24, 4 and 55 Series 7, 66 or 63&65, with Series 24

Skills and Knowledge

  • Bachelor's Degree highly preferred
  • Comprehensive knowledge of FINRA, SEC, MSRB, and state regulations. Preferred experience with OCC regulations.
  • Strong testing/audit background related to regulatory compliance rules.
  • Experience in Wealth Management products, performing testing, quality control/assurance processes or internal/external audits.
  • Strong time management, interpersonal, communication, and leadership skills.
  • Strong analytical, research and problem solving skills.
  • Excellent verbal and written communication skills.
  • Ability to establish credibility and strong partnership with management and peers.
  • Ability to work under tight deadlines and successfully manage multiple tasks at one time.
  • Ability to work autonomously and initiate and prioritize own work.
  • Ability to travel up to 10% of the time.

*To be considered for this position you must meet at least these basic qualifications
The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.

City National Bank is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by law.


We start with a basic premise: Business is personal. Since day one we've always gone further than the competition to help our clients, colleagues and community flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues to drive phenomenal growth today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies.

In order to be hired and work at City National Bank, you must be fully vaccinated against COVID-19.

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled
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