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Lead Compliance Manager First Line of Defense (1LOD)

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Job ID OOTP-14460 City Los Angeles State California Additional Location: Exempt/Non Exempt Exempt Shift Day Work Schedule M-F, 8-5
Job Details:


Reporting to the Compliance Program Manager, this position is responsible for the managing Compliance Officer's day-to-day oversight of all compliance activities and Compliance risks awareness for multiple divisions to drive efficiency through centralization and standardization of Compliance Risk activities to minimize risk. Compliance programs include but not limited to providing Subject Mater Expertise, perform annual Risk Assessments, Control testing and monitoring and reporting on all lending and deposit activities as it relates to assuring compliance with the various applicable federal and state laws and regulations. Accordingly, the manager must possess strong working knowledge of compliance laws and regulations as they apply to federal financial institutions including rules pertaining to consumer protection laws and fair lending.


  • Ensure that there are sufficient internal controls to promote an effective compliance risk monitoring program. Prioritize focus toward areas identified as having the highest levels of risk to the division.
  • Perform testing of controls, processes and procedures to identify compliance gaps and potential exposure. Analyze and evaluate compliance risks and recommend changes to policies and procedures as necessary.
  • Evaluate the effectiveness of existing processes and recommend new processes that most effectively anticipate, manage, and reduce risk to the assigned divisions.
  • Maintain and provide 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.
  • Partner with the divisions to create workflows and internal control documentation to assist in implementation and understanding of processes as they relate to their specific area of responsibility. Consult with division management as to any deficiencies, and monitor to ensure that required changes and/or remediation is implemented.
  • Conduct Risk Assessment to identify compliance risk exposure and help the division prioritize compliance risks. 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.
  • Support the timely and effective resolution of complex issues identified through monitoring and testing.
  • Draft compliance reports and support Risk Managers in the preparation of QRR reports, including details of identified significant findings.
  • 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.
  • Comply and align RBC Compliance Risk assessment and monitoring and testing programs.
  • Maintain up-to-date knowledge of Bank policies, procedures and industry best practices.
  • Assist the development of new training related to ECOA, HMDA, Fair Housing, FCRA/FACTA, Flood Insurance, UDAAP other consumer protection regulations/laws and safety and soundness regulations.
  • Assist the Compliance Program Manager in the development, administration, and monitoring of programs, successful creation and implementation of procedures and quality control activities to ensure robust compliance mechanisms and internal controls are in place and adhered to.
  • Comply fully with all Bank Compliance policies and procedures as well as all regulatory requirements (e.g., Truth-in-Lending Act, Truth-in-Savings Act, Home Mortgage Disclosure Act, Equal Credit Opportunity Act, Fair Housing Act, Real Estate Settlement Procedures Act, USA Patriot Act, Electronic Funds Transfer Act, Community Reinvestment Act, Federal Trade Commission Act, Bank Secrecy Act, Gramm Leach Bliley, OCC guidelines and regulations on predatory and abusive lending, privacy, complaint management, cash management, anti-money laundering and other suspicious activities) as well as FINRA, SEC and MSRB rules and those arising under the Bank's particular regulatory framework.
  • Perform other duties as assigned or requested.



  • Associate's Degree
  • Minimum 5 years experience in Lending Compliance or Operations
  • Minimum 7 years experience in a bank or financial institution

Skills and Knowledge

  • Bachelor's Degree preferred
  • Familiarity with OCC Heightened Standards preferred
  • Good knowledge of financial services products, including commercial and consumer etc.
  • Educational experience, through in-house training sessions, formal school or financial industry related curriculum, should be applicable to the financial industry preferred.
  • Exceptional oral, written and interpersonal communication skills with the ability to apply logic and give guidance to others, interpret documents, understand procedures, write reports and correspondence, speak clearly to clients and colleagues.
  • Thorough knowledge of related state and Federal banking regulations.
  • Demonstrated ability to think critically and facilitate change through collaborative effort. Strong interpersonal, verbal, and written communication skills.
  • Ability to analyze lending and deposit compliance situations and provide guidance, make recommendations, and/or escalates the issues to appropriate level of management.
  • Ability to work with little or no direct supervision while performing duties.
  • Proven ability to effectively train and instruct in a formal classroom or one-on-one environment.

*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.City National Bank requires all colleagues to be fully vacinated against COVID-19 to work on-site at any of our locations.

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled
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