Senior Wealth Compliance Leader

City National Bank; Charlotte (NC); On-site; USD 85,000 - 145,000; Full time

Benefits offered by this job

Comprehensive healthcare coverage

Generous 401(k) matching

Tuition reimbursement

Time off (vacation, sick, volunteer)

Fertility benefits

Career mobility support

Job summary

City National Bank seeks a Compliance Specialist Senior Wealth Management to establish and run an effective compliance program for wealth management products. You will monitor, interpret, and update compliance policies and work with operations on regulatory requirements including OCC, RNDIP, Regulation R and ERISA.

You will serve as an internal consultant, support RBC testing, and help enhance CNB's compliance framework while communicating findings to executive teams and the board.

Qualifications

• Bachelor's Degree or equivalent.
• Minimum 5 years of experience with bank operations and/or compliance operations.
• Minimum 5 years of experience with risk management and/or Compliance policies and procedures.
• FINRA Series 7 and/or 24 is highly desirable.
• Certified Compliance Risk Manager (CRCM) preferred for banking compliance roles.

Responsibilities

• Monitors, analyzes and escalates issues related to OCC requirements for RNDIP, Regulation R, and ERISA compliance.
• Acts as internal consultant on operational compliance issues for CNB and RBC testing program.
• Oversees remediation within the CNB/RBC Testing Program framework.
• Identifies opportunities to enhance internal compliance policies and procedures.
• Assists in preparing annual and ongoing reports to executive management and the board of directors.

Skills

Regulatory compliance

Risk management

Policy development

Communication skills

Leadership

Regulatory affairs

Education

Bachelor's Degree or equivalent

Tools

Microsoft Outlook

Microsoft Word

Microsoft Excel

PowerPoint

MS Access

Microsoft Project

Job description

City National Bank seeks a Compliance Specialist Senior Wealth Management to establish and run an effective compliance program for wealth management products. You will monitor, interpret, and update compliance policies and work with operations on regulatory requirements including OCC, RNDIP, Regulation R and ERISA.

You will serve as an internal consultant, support RBC testing, and help enhance CNB's compliance framework while communicating findings to executive teams and the board.