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At City National, we are constantly in search of experienced, client service oriented professionals who want to become a part of our team and make a difference.

Compliance Testing Analyst

Job ID LGL-8249 CityLos Angeles StateCalifornia Exempt/Non ExemptExempt ShiftDay Work ScheduleMonday-Friday, 8-5
The individual will provide support to the Compliance Manager in his/her oversight of the Bank's regulatory compliance testing program. The Testing Analyst is responsible for playing a critical role in the execution of the Bank's compliance testing program, reporting on testing results, and performing validation.

Responsibilities

  • Under direction of the Compliance Manager, create testing/validation plans and conduct reviews of various business functions to ensure regulatory compliance.
  • Ensure testing complies with the program testing requirements and procedures.
  • Ensure annual testing plan is completed as planned.
  • Evaluate methods, processes, procedures and risks and ascertain significant compliance and control issues, making recommendations when needed.
  • Analyze findings and perform root cause analysis, distinguishing between various levels of compliance risk.
  • Prepare and support corrective action plans with business lines and validate implementation. Identify and assist in resolving compliance and control issues.
  • Draft compliance reports, including details of identified significant findings.
  • Interact with business line managers and other staff functions as appropriate.
  • Demonstrate extensive knowledge of bank laws and regulations such as Reg W, and Reg P.
  • Apply and manage compliance risk management program of third party service providers.
  • Adheres to compliance procedures and internal/operational risk controls in accordance with any and all applicable regulatory standards, requirements, and policies.
  • Comply fully with all Bank Compliance policies and procedures as well as all regulatory requirements 

Requirements

  • *Minimum of 4 years of combined experience with compliance and/or audit experience with a focus on testing.
  • *Minimum 4 years of experience with developing and performing testing
  • *Minimum 4 years of experience with bank laws and regulations such as Reg. W, OCC 2013-29, SR 13-19 etc.
  • College degree preferred.
  • Demonstrated experience with regulations impacting bank holding companies and corporate compliance preferred.
  • Strong experience in developing and performing testing.
  • 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. 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.


*Represents the basic qualifications for the position. To be considered for this position you must at least meet the basic qualifications.

City National Bank is an Equal Opportunity Employer -- Minorities/Females/Individuals with Disabilities/Veterans.

Note: 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.

Note: Candidates should be advised that City National Bank does not pay interviewee travel expenses or relocation expenses for candidates who are hired unless previously agreed.
*LI-BD2
Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled
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  • Legal/Compliance, Los Angeles, California, United StatesRemove