Top 14 Compliance assistant Jobs in Anaheim, Ca

Senior Manager - Investment Management Governance Office - RNDIP/ Reg R
City National Bank —Los Angeles, CA
- $200,000 - $325,000 a year
- 7 years
- Analysis skills
- Bachelor's degree
- Health insurance
- Dental insurance
14d
Assistant Contracts Administrator
Power Plus —Anaheim, CA
- $22 - $24 an hour
- Full-time
- Word processing
- English
- Office
- Health insurance
- Dental insurance
Quick Apply
Assistant In-House Counsel
World Wide Sourcing Group, Inc. —Gardena, CA
- $160,000 - $180,000 a year
- Full-time
- Background check
- Writing skills
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
9d
Compliance Coordinator Assistant - Part-time (Hybrid)
Pace Recovery Center —Newport Beach, CA
- $30 - $35 an hour
- Part-time
- Microsoft Excel
- Writing skills
- Mid-level
Quick Apply
1d
Regulatory Compliance Assistant
AIRTECH INTERNATIONAL INC —Huntington Beach, CA
- $25 an hour
- Monday to Friday
- Microsoft Excel
- Microsoft Outlook
- Research
- Paid holidays
- Health insurance
Quick Apply
9d
Political Compliance Assistant
Kaufman Legal Group A Professional Corporation —Los Angeles, CA
- $20 - $25 an hour
- Part-time
- QuickBooks
- Data entry
- Communication skills
Labor Compliance/Administrative Assistant
MTM Construction Inc —City of Industry, CA
- $47,000 - $54,000 a year
- Full-time
- Hybrid work
- English
- Office
- No degree
- Health insurance
- 401(k)
Quick Apply
6d
Occupancy Compliance Specialist Assistant
FPM - Affordable Housing —Long Beach, CA
- $33 an hour
- Full-time
- Mid-level
- Residential
- Criminal background check
- Paid holidays
- Health insurance
Quick Apply
Regulatory Compliance Assistant Scientist
Terracon —Laguna Hills, CA
- $26.70 - $37.50 an hour
- Microsoft Word
- Mid-level
- Analysis skills
- Paid holidays
- Health insurance
Part-Time Administrative Compliance Assistant
CAL STATE LA UNIVERSITY AUXILIARY SERVICES INC. —Los Angeles, CA
- $18.42 an hour
- Part-time
- Background check
- Microsoft Outlook
- Administrative experience
Quick Apply
7d
Administrative Assistant, Legal and Compliance
Motorola Solutions —Los Angeles, CA
- $31.25 - $36.06 an hour
- Full-time
- Hybrid work
- Background check
- Google Workspace
- Pass drug screening
- Paid parental leave
- Employee stock purchase plan
1d
Office and Compliance Coordinator
Square Yi Construction Inc —Los Angeles, CA
- $20 - $24 an hour
- Part-time
- Spanish
- Google Workspace
- Microsoft Outlook
Quick Apply
12d
VP, Assistant General Counsel & Assistant Secretary, Corporate Securities & Governance
Envista —Brea, CA
- Office
- Continuous improvement
- Senior level
- Paid holidays
- Disability insurance

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Senior Manager - Investment Management Governance Office - RNDIP/ Reg R

City National Bank -
Los Angeles, CA

Apply Now

Job Details

$200,000 - $325,000 a year
14 days ago

Benefits

Health insurance
Dental insurance
Tuition reimbursement
Vision insurance
401(k) matching

Qualifications

Data-driven problem-solving

Full Job Description

SENIOR MANAGER, INVESTMENT MANAGEMENT GOVERNANCE OFFICE, RNDIP / REG R

WHAT IS THE OPPORTUNITY?

Working within the Investment Management Governance Office and with Senior Management of the Wealth Management division, this role will be responsible for City National Bank's Retail Non-Deposit Investment Program (RNDIP) and Reg R compliance to include coordination with City National Bank's Network Affiliates and colleagues across the division to implement policies, develop procedures and controls related to the governance requirements outlined in the OCC RNDIP Handbook (June 2024) and produce quarterly metrics and reports to the Wealth Management & Fiduciary Committee and the Private Banking and Wealth Management Business and Risk Committee. This role also works closely with 2LOD Compliance and 3LOD Internal Audit on issues impacting the Wealth Management division.

WHAT WILL YOU DO?

At the direction of the Head of Investment Management Governance act as an intermediary/point person for City National Bank's (“CNB’s) Investment Management Governance Office, which includes managing the Retail Non-Deposit Investment Products (the “RNDIP”) program and Reg R compliance.
Build and sustain effective relationships and alliances both internally and across all lines of business and staff areas to help deliver results and to ensure applicable issues are identified, analyzed and managed appropriately. Understand interdependencies across LOBs and support groups to achieve success in supporting remediation of regulatory, internal audit, and self-identified issues.
Analyze, evaluate and periodically review current risk management practices relating to RNDIP and Reg R activities across the organization and the activities of the network affiliates. Collaborate closely with colleagues across Risk, Compliance and Internal Audit to strengthen the control environment and enhance risk management practices.
Monitor activities of the network affiliates for adherence to CNB’s networking agreements and RNDIP policies, Program Management Statement and procedures.
Drive annual review of CNB Compensation Plans RNDIP inter-company agreements, RNDIP Products, RNDIP Program Management Statement, RNDIP Program and Referral Procedures, and other related procedures owned by the IMGO.
Review marketing materials and new or modified products for applicability to RNDIP and Reg R.
Design and implement reporting associated with RNDIP to appropriate governance committees.
Develop and implement training for RNDIP programs across LOBs.
Lead execution of activities described in the RNDIP Program Procedure, including completion of annual RNDIP risk assessment summary.
Prioritize organizational risk management objectives.
Facilitate audit and examination activities.
Cultivate and grow talent within the organization through coaching, mentoring, and training.

WHAT DO YOU NEED TO SUCCEED?

Required Qualifications*

Bachelor's Degree or equivalent
7+ years experience managing a RNDIP Program for an OCC regulated Bank
10+ years within or related to financial services
Interaction with regulators from a prior role

Additional Qualifications

Juris Doctor (JD) degree preferred
Demonstrated knowledge of Reg R from prior role
10 years in a role requiring complex problem solving
Investment Management experience preferred
Strong interpersonal and influencing skills; ability to communicate effectively in interactions with Regulators. Communication with colleagues at all levels in a peer-like way, and achieve goals without direct control over resources
Demonstrated ability to Influence change, build relationships, communicate effectively, work under pressure, manage multiple priorities and deliver high caliber results.
Strong emerging end-to-end generalist problem solving skills, e.g.,
Prioritizing issues and analysis
Structuring and building quantitative and qualitative/conceptual analyses
Knowledge in Financial Services, Project Management
Excellent time management, organizational, and prioritization skills and ability to balance multiple priorities.
An outstanding ability to analyze problems, apply quantitative analytical approaches, communicate effectively and confidently (both oral and written), work well in cross-functional teams
Quick learning ability, outstanding analytical skills and a structured way of thinking, your attention to details is exceptional
Operate well under stress, even faced with tight timelines for ambitious deliverables Significant experience in driving operational change with front line to senior leadership personnel
Proficiency with MS Excel and PowerPoint

WHAT'S IN IT FOR YOU?

Compensation

Starting base salary:

$275,000 - $325,000 per year in New York, NY

$225,000 - $275,000 per year in Los Angeles, CA

$200,000 - $250,000 per year in Newark, Delaware or Charlotte, NC

Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.

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 including:

Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
Generous 401(k) company matching contribution
Career Development through Tuition Reimbursement and other internal upskilling and training resources
Valued Time Away benefits including vacation, sick and volunteer time
Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
Career Mobility support from a dedicated recruitment team
Colleague Resource Groups to support networking and community engagement

Get a more detailed look at our Benefits and Perks.

ABOUT US

Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America’s leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at About Us.

INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT

City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.

Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.

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Apply Now

Refine Your Search

compliance assistant jobs in anaheim, ca

Senior Manager - Investment Management Governance Office - RNDIP/ Reg R

Assistant Contracts Administrator

Assistant In-House Counsel

Compliance Coordinator Assistant - Part-time (Hybrid)

Regulatory Compliance Assistant

Political Compliance Assistant

Labor Compliance/Administrative Assistant

Occupancy Compliance Specialist Assistant

Regulatory Compliance Assistant Scientist

Part-Time Administrative Compliance Assistant

Administrative Assistant, Legal and Compliance

Office and Compliance Coordinator

VP, Assistant General Counsel & Assistant Secretary, Corporate Securities & Governance

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