To help you find the most relevant
jobs, we've come up with an approximate compensation for this
position. This is based on similar jobs with compensation
$50K to $83K -New York, NY
In this role, the selected candidate will work closely with the CNR Chief Compliance Officer to oversee the CNR Rule 206(4)-7 investment adviser compliance program and to assist with overseeing the City National Rochdale Funds' Rule 38a-1 compliance program.
Formulates plans, processes and timetables to conduct an accurate, complete and thorough investigation in a confidential manner in accordance with regulatory requirements and within specified timeframes.
In this role, the selected candidate will help develop, draft and execute policies and procedures that are designed to detect and prevent violations of the federal securities laws and mitigate various types of risk, including compliance and operational risk.
The successful candidate must have outstanding communication skills, an ability to anticipate and deliver on the needs of a fast-paced and innovative business, and the flexibility to simultaneously manage a wide range of projects.
In this role, you will be responsible for reviewing transactions on a monthly basis involving electronic wires and check activity. Reviewing to see if negative news or other potential AML concerns with transactions activities exist.
In this role, the selected candidate will identify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to current policy or practices.
The Enterprise Area of Coverage (EAC) Compliance Analyst, under close supervision, assists a team responsible for providing enterprise wide coverage of specific laws, rules, regulations, and regulatory guidance, such as those related to SCRA (Service Member Civil Relief Act), Privacy and Registration and Licensing.