Compliance Specialist Senior Wealth Management

COMPLIANCE SPECIALIST SENIOR WEALTH MANAGEMENT WHAT IS THE OPPORTUNITY? The Compliance Specialist establishes and implements an effective compliance program to ensure regulatory compliance for Wealth Management products. Responsible for monitoring, discovering, interpreting, enhancing, updating, developing, tracking and implementing pertinent and effective compliance policies and procedures related to operations initiatives within the internal and external compliance environment. WHAT WILL YOU DO?

• Monitors, analyzes and escalates issues and concerns related to client activity with an emphasis on Volcker issues identification utilizing sound and current compliance industry standards and practices for Volckerprogram foundations.
• Functions as an internal consultant to colleagues throughout City National Bank (CNB) related to operational compliance issues and concerns, utilizing their internal and external organizational agility to ascertain and deliver sou...