Compliance Conflict of Interest Manager Sr at City National Bank
Newark, DE 19713
About the Job
COMPLIANCE CONFLICT OF INTEREST MANAGER SR WHAT IS THE OPPORTUNITY? Reporting up through CNB's 2nd line of defense, this newly formed Enterprise Conflicts of Interest Office is tasked with: providing strategic leadership into the development of the conflicts of interest program
Responsible for the development and implementation of the Bank's COI operating model, policies, and procedures
Collaborates with Compliance colleagues and business line management to conduct risk assessments in order to recommend enhancements to current policy and procedures
May supervise one or more professional staff
Provides support in the development, implementation and testing of modification and enhancements of COI transaction monitoring models
Provides management of the Bank's COI Training program
Plays a key role as an internal consultant to colleagues throughout the COI lifecycle
Compliance Risk Management Division This is a great opportunity to grow your career with a stable and expanding organization as a member of City National's Compliance Risk Management team
The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth
What you will do Work independently to develop/update COI related operating models, policies, procedures and processes Create integrated project plans to support regulatory-related implementations
Lead stakeholder analysis and ongoing engagement efforts and change management strategy execution Understand pertinent frameworks, policies, and procedures impacting the COI objectives Conduct “road shows” to build awareness of the new function along with the policy and procedural requirements Ability to work on multiple initiatives while understanding integrations and dependencies to the future state COI operating model Develop, implement, and manage the Bank’s COI compliance training program
Execute remediation plans, as needed
Identify COI related industry changes and enable the Bank to respond quickly to these changes
Conduct annual review and enhancement of the Bank’s COI Program Act as a COI regulatory consultant throughout the Bank
Communicate and escalate COI operational concerns to the appropriate level of management
Serve as resource to internal and external customers; ensure quality customer service and effective and efficient operational support Must-Have* Bachelor's Degree or equivalent Minimum of 7 years’ experience in a Compliance or Risk role required
Minimum of 10 years’ experience with Compliance or Risk documentation (i.e
risk assessments, project plans, testing memoranda)
Skills and Knowledge Previous Project Management experience required; experience leading regulatory-related initiatives is preferred
Self-starter with ability to work independently and collaboratively within a group
Thought leadership and critical thinking skills
Exceptional written and verbal communication skills Ability to identify, scope, and plan large, complex organizational change initiatives, including IT improvements, business process improvements, or efficiency management Ability to support multiple initiatives and balance resources and time concurrently to meet iterative requirements and changing priorities Ability to prepare and brief senior executives on complex business topics Ability to articulate a future vision for change, associated pros and cons, and a transition roadmap Ability to translate a vision into strategic and tactical plans and execute resulting plans with little supervision Prior experiences supporting large scale regulatory, digital transformation, and technology implementations Experience managing internal strategic communications and training delivery and ongoing stakeholder engagement Strong executive presence and ability to work with all levels within an organization Organized, independent, and self-motivated with a team player attitude Proficiency in MS Office, including Visio, Project Sense of urgency and resiliency working in highly visible roles with strong awareness of cross-organizational decision-making and impacts Proactive – anticipates as well as addresses Can manage complexity and competing, time sensitive demands Ability to identify issues and obstacles and determine potential solutions for consideration in succinct way Track record of building and nurturing advocacy for “new” programs; bonus is experiences where these are tied to regulatory actions Strong collaboration and persuasive technique skills Ability to supervise and coach staff
Compensation Starting base salary: $127,626 - $237,014 per year
Exact compensation may vary based on skills, experience, and location
This job is eligible for bonus and/or commissions
*To be considered for this position you must meet at least these basic qualifications The 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
Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues
Get an inside look at our Benefits and Perks
ABOUT CITY NATIONAL City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with $92.03 billion in assets as of April 30, 2024
Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C
and Miami.* In addition, the company and its investment affiliates manage or administer $96.83 billion in client investment assets
City National is dedicated to strengthening communities, and in 2023 alone, the company made more than $11 million in charitable contributions to nonprofits that support the communities it serves
*City National Bank does business in Miami and the state of Florida as CN Bank
For more information about City National, visit cnb.com
EQUAL OPPORTUNITY EMPLOYER & REASONABLE ACCOMMODATION City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct
READ MORE If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process
Please contact us via email or leave a message at
These contact methods are dedicated to applicants whose disability prevents them from successfully applying online
Only messages left for this purpose will be returned
Responses may take up to two business days.
Responsible for the development and implementation of the Bank's COI operating model, policies, and procedures
Collaborates with Compliance colleagues and business line management to conduct risk assessments in order to recommend enhancements to current policy and procedures
May supervise one or more professional staff
Provides support in the development, implementation and testing of modification and enhancements of COI transaction monitoring models
Provides management of the Bank's COI Training program
Plays a key role as an internal consultant to colleagues throughout the COI lifecycle
Compliance Risk Management Division This is a great opportunity to grow your career with a stable and expanding organization as a member of City National's Compliance Risk Management team
The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth
What you will do Work independently to develop/update COI related operating models, policies, procedures and processes Create integrated project plans to support regulatory-related implementations
Lead stakeholder analysis and ongoing engagement efforts and change management strategy execution Understand pertinent frameworks, policies, and procedures impacting the COI objectives Conduct “road shows” to build awareness of the new function along with the policy and procedural requirements Ability to work on multiple initiatives while understanding integrations and dependencies to the future state COI operating model Develop, implement, and manage the Bank’s COI compliance training program
Execute remediation plans, as needed
Identify COI related industry changes and enable the Bank to respond quickly to these changes
Conduct annual review and enhancement of the Bank’s COI Program Act as a COI regulatory consultant throughout the Bank
Communicate and escalate COI operational concerns to the appropriate level of management
Serve as resource to internal and external customers; ensure quality customer service and effective and efficient operational support Must-Have* Bachelor's Degree or equivalent Minimum of 7 years’ experience in a Compliance or Risk role required
Minimum of 10 years’ experience with Compliance or Risk documentation (i.e
risk assessments, project plans, testing memoranda)
Skills and Knowledge Previous Project Management experience required; experience leading regulatory-related initiatives is preferred
Self-starter with ability to work independently and collaboratively within a group
Thought leadership and critical thinking skills
Exceptional written and verbal communication skills Ability to identify, scope, and plan large, complex organizational change initiatives, including IT improvements, business process improvements, or efficiency management Ability to support multiple initiatives and balance resources and time concurrently to meet iterative requirements and changing priorities Ability to prepare and brief senior executives on complex business topics Ability to articulate a future vision for change, associated pros and cons, and a transition roadmap Ability to translate a vision into strategic and tactical plans and execute resulting plans with little supervision Prior experiences supporting large scale regulatory, digital transformation, and technology implementations Experience managing internal strategic communications and training delivery and ongoing stakeholder engagement Strong executive presence and ability to work with all levels within an organization Organized, independent, and self-motivated with a team player attitude Proficiency in MS Office, including Visio, Project Sense of urgency and resiliency working in highly visible roles with strong awareness of cross-organizational decision-making and impacts Proactive – anticipates as well as addresses Can manage complexity and competing, time sensitive demands Ability to identify issues and obstacles and determine potential solutions for consideration in succinct way Track record of building and nurturing advocacy for “new” programs; bonus is experiences where these are tied to regulatory actions Strong collaboration and persuasive technique skills Ability to supervise and coach staff
Compensation Starting base salary: $127,626 - $237,014 per year
Exact compensation may vary based on skills, experience, and location
This job is eligible for bonus and/or commissions
*To be considered for this position you must meet at least these basic qualifications The 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
Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues
Get an inside look at our Benefits and Perks
ABOUT CITY NATIONAL City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with $92.03 billion in assets as of April 30, 2024
Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C
and Miami.* In addition, the company and its investment affiliates manage or administer $96.83 billion in client investment assets
City National is dedicated to strengthening communities, and in 2023 alone, the company made more than $11 million in charitable contributions to nonprofits that support the communities it serves
*City National Bank does business in Miami and the state of Florida as CN Bank
For more information about City National, visit cnb.com
EQUAL OPPORTUNITY EMPLOYER & REASONABLE ACCOMMODATION City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct
READ MORE If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process
Please contact us via email or leave a message at
(213) 673-9139
These contact methods are dedicated to applicants whose disability prevents them from successfully applying online
Only messages left for this purpose will be returned
Responses may take up to two business days.
