Investment Guidelines & Trade Compliance Lead

City National Bank; New York (NY); On-site; USD 128,000 - 237,000; Full time

Benefits offered by this job

Healthcare coverage

401(k) matching

Tuition reimbursement

Vacation and sick time

Fertility benefits

Job summary

City National Bank seeks a Manager - Investment Guidelines & Trade Compliance Oversight to build and run the Compliance Trade Oversight Program. You will lead the design, configuration and administration of compliance rules within the OMS/PMS (Charles River Development) to mitigate regulatory and market risks tied to investment guidelines.

You’ll interpret complex guidelines, translate them into automated rules, and work with Investment Management, Trading, IT, and Legal to ensure accuracy and

Qualifications

• Bachelor's degree or equivalent in a related field.
• Minimum 7 years in financial services with hands-on OMS experience.
• Strong understanding of equities, fixed income, mutual funds, ETFs, and derivatives.
• Knowledge of SEC/FINRA/ERISA regulations and banking regs.

Responsibilities

• Lead Trade Oversight Program by configuring OMS/PMS rules in Charles River.
• Translate investment guidelines into system-based compliance rules and validate them.
• Manage and train analysts covering guideline requirements.
• Monitor pre- and post-trade violations in real time with Investment Management and Trading teams.
• Develop procedures with IT, Legal, Operations and Compliance teams.
• Coordinate with compliance officers, PMs, and tech teams to refine rule logic.
• Design, test and implement new rules for new accounts.
• Develop quarterly, monthly and daily risk/reporting.

Skills

Bachelor's Degree

7+ years financial services experience

Financial products knowledge

Regulatory frameworks understanding

Leadership / team management

Compliance breach analysis

Education

Bachelor's Degree or equivalent

Tools

Charles River system

Job description

City National Bank seeks a Manager - Investment Guidelines & Trade Compliance Oversight to build and run the Compliance Trade Oversight Program. You will lead the design, configuration and administration of compliance rules within the OMS/PMS (Charles River Development) to mitigate regulatory and market risks tied to investment guidelines.

You’ll interpret complex guidelines, translate them into automated rules, and work with Investment Management, Trading, IT, and Legal to ensure accuracy and