Chief Compliance OfficerStart Application Job ID LGL-8385 CityNew York StateNew York Exempt/Non ExemptExempt ShiftDay Work ScheduleM-F, 8-5
This colleague will be the Chief Compliance Officer for City National Rochdale Investments (CNR) and all comingled funds (public and private) operated by CNR. The CCO is responsible for the creation and administration of compliance programs for the entire advisory complex. The CCO will direct, develop, implement, and maintain written policies and procedures governing all compliance activities for the advisor and its funds to comply with various Federal and State Securities Laws; act as the primary contact for internal and regulatory examiners; coordinate compliance activities with CNB and non-bank affiliates; and monitor the activities of the sub-advisers and other service providers. This colleague will manage CNR's compliance colleagues. Performs other duties as requested by the Chief Compliance Officer of Wealth Management, the CEO of CNR and the various fund Boards.
- *Minimum of 8 years of Registered Investment Advisor and Mutual Fund and alternative products such as hedge funds compliance experience in a banking or investment advisory firm required.
- *Bachelors degree required.
- *Minimum of 3 years of experience in the specific capacity of "Chief Compliance Officer" required.
- *Minimum of 2 years of management experience required.
- *Series 7, 24, 63 and/or 65 (or 66) licenses required.
- Knowledge of BSA and GLBA required.
- Strong competence and knowledge of state and federal securities laws, valuations for alternative products and tender offer procedures along with other traditional 40 Act rules, bank non-deposit investment product requirements as well as BSA, privacy and other traditional banking regulations applicable to a bank subsidiary.
- Develop proactive compliance monitoring programs used to help mitigate regulatory and operating risks.
- Ability to develop and implement appropriate policies and procedures that compel others to adhere to them.
- Must possess excellent verbal and written communications skills sufficient to interact with all levels of management, the Adviser, the Fund colleagues and clients, vendors, etc.
- Responsible and accountable for appropriate quality controls related to the financial products we provide, the services we deliver, the processes we employ, and the incentives with which we reward our colleagues.
- Ensure that all City National products, financial solutions and services are 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
*Represents basic qualifications of 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: This 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-KB1Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled