Broker-Dealer Compliance & Risk Analyst

RiseMe; New York (NY); On-site; USD 70,000 - 120,000; Full time

Benefits offered by this job

Comprehensive healthcare coverage

401(k) company matching contribution

Tuition Reimbursement and training

Job summary

City National Bank is seeking a Compliance Analyst to support oversight of the Wealth Management Broker-Dealer entities. The role covers monitoring, risk assessment, regulatory change management, and issue resolution to ensure robust compliance with laws and internal controls.

You will work with senior leaders to plan responses to complex regulatory matters, maintain internal control standards, and collaborate with multiple business units to mitigate risk.

Qualifications

• Bachelor's degree or equivalent required.
• Minimum 4 years of banking experience.
• Minimum 3 years of risk management or compliance experience.
• Minimum 3 years of advanced level Microsoft Office skills (Word, Excel, Access, PowerPoint).

Responsibilities

• Assist in development, administration, and monitoring of compliance programs for broker-dealer entities.
• Evaluate current processes and recommend improvements to reduce risk.
• Assist in risk assessments to identify compliance risk exposure.
• Provide guidance on licensing/registration matters.
• Support timely resolution of complex issues from monitoring.

Skills

Excellent communication

Analytical skills

Organizational skills

Time management

Multi-tasking

Education

Bachelor's Degree or equivalent

Tools

Microsoft Office Suite

Tableau

Job description

City National Bank is seeking a Compliance Analyst to support oversight of the Wealth Management Broker-Dealer entities. The role covers monitoring, risk assessment, regulatory change management, and issue resolution to ensure robust compliance with laws and internal controls.

You will work with senior leaders to plan responses to complex regulatory matters, maintain internal control standards, and collaborate with multiple business units to mitigate risk.