One million success stories. Start yours today.

Head of Wealth Management Compliance City National Bank

Date Posted: Jun 30, 2026
Yearly: USD - USD
Apply Now

Job Detail

  • location_on
    Location West New York, New York, United States of America
  • desktop_windows
    Job Type: Permanent
  • schedule
    Shift:
  • analytics
    Career Level:
  • group
    Positions:
  • calendar_view_day
    Experience:
  • male
    Gender: No Preference
  • school
    Degree:
  • calendar_month
    Apply Before: Sep 28, 2026
Email to Friend Add to Favourite Report Abuse

Job Description

Overview

The Head of Wealth Management Compliance at City National Bank (CNB) will lead compliance activities for its Wealth Management division, including investment advisory and broker dealer operations. This role requires balancing various regulatory expectations and fostering a culture of compliance, ethics, and integrity across the organization.

Key responsibilities

  • Advance compliance programs focusing on regulatory requirements
  • Oversee compliance risk management activities
  • Provide advice and guidance to Wealth Management and Private Banking businesses
  • Implement risk management routines aligning with SEC and FINRA
  • Oversee compliance management within the firm's RIA program
  • Provide oversight for firm and agent registration and licensing
  • Report compliance matters to CNB and subsidiary boards
  • Evaluate and oversee internal controls for compliance
  • Conduct periodic risk assessments to identify compliance gaps
  • Establish compliance training for officers and employees
  • Partner with business units to remediate compliance issues
  • Facilitate audits and exams related to compliance
  • Integrate compliance activities with other departments
  • Maintain knowledge of industry best practices for compliance
  • Elevate material issues to senior management as appropriate

Required skills

  • Bachelor's Degree or equivalent
  • Minimum 10 years of wealth management compliance experience
  • Minimum 5 years of management experience
  • Advanced knowledge of regulatory acts including the Investment Advisers Act of 1940
  • Knowledge of OCC Regulation 9 and ERISA regulations
  • Ability to develop and implement compliance policies
  • Excellent verbal and written communication skills
  • Working knowledge of Microsoft Office programs
  • Experience interacting with regulatory agencies
  • FINRA Series 7: General Securities Rep preferred
  • Certified Compliance Risk Manager (CRCM) for Banking Compliance roles
  • Experience with broker-dealer or registered investment adviser for Wealth Management Compliance roles

What the company offers

  • Starting base salary: $200,000 - $340,000 per year
  • Comprehensive healthcare coverage including Medical, Dental, and Vision
  • Generous 401(k) matching contribution
  • Career Development through Tuition Reimbursement and training resources
  • Valued Time Away benefits including vacation, sick, and volunteer time
  • Specialized health and family planning benefits
  • Career Mobility support from a recruitment team
  • Colleague Resource Groups for networking and community engagement

Skills Required

Company Overview

City National Bank
Los Angeles, Baja California, United States of America
23 Current Jobs Openings

City National Bank, a national bank, specializes in providing banking and financial services including wealth management. It operates under the oversight of regulatory bodies such as the Office of the Comptroller of the Currency (OCC) and the Federal... Read More

Google Map

Related Jobs