Top 212 Compliance auditor Jobs in White Plains Ny

Compliance Specialist Senior Wealth Management
City National Bank —New York, NY
- $85,000 - $145,000 a year
- Microsoft Excel
- Microsoft Outlook
- 5 years
- Health insurance
- Dental insurance
Coder Auditor/Senior CDI Specialist
HAMASPIK CHOICE INC —Spring Valley, NY
- $83,000 - $90,000 a year
- Full-time
- Writing skills
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
Lead Fiduciary Compliance Specialist
City National Bank —New York, NY
- $175,000 - $225,000 a year
- Microsoft Excel
- Microsoft Outlook
- 5 years
- Health insurance
- Dental insurance
2d
Senior Director of Quality Assurance and Food Safety
Star Kay White, Inc. —Congers, NY
- $140,000 - $180,000 a year
- Full-time
- 18 years or older
- Spanish
- Bachelor of Science
- Health insurance
- Dental insurance
Quick Apply
Leasing & Compliance Specialist (LIHTC)
Locust Cove Management —New York, NY
- $60,000 - $80,000 a year
- Full-time
- Mid-level
- Office
- Microsoft Office
Quick Apply
AVP Internal Auditor
MJ Boyd Consulting —New York, NY
- $120,000 - $150,000 a year
- Microsoft Excel
- 5 years
- Office
Quick Apply
Senior Internal Auditor
Atlas Air —White Plains, NY
- $87,500 - $117,500 a year
- Overtime
- Hybrid work
- Microsoft Word
- CPA
- Writing skills
- Health insurance
- Dental insurance
Lead Specialist, International Trade Compliance
GE Aerospace —Norwalk, CT
- $112,000 - $149,000 a year
- Full-time
- Pass drug screening
- Mid-level
- High school diploma or GED
- Paid parental leave
- Disability insurance
Internal Audit Manager
Action Staffing Group —Ridgefield, CT
- From $140,000 a year
- Full-time
- CPA
- 5 years
- Office
- Health insurance
- Dental insurance
Quick Apply
Manager, Product Integrity & Social Compliance Analyst (Hybrid, New York)
Tailored Management —New York, NY
- $1 - $32 an hour
- Contract
- Hybrid work
- Office
- 3 years
- Analysis skills
- Dental insurance
- Vision insurance
Quick Apply
Internal Auditor
House of Spices (India) Inc. —New Hyde Park, NY
- $75,000 - $95,000 a year
- Full-time
- CPA
- ERP systems
- Mid-level
- Health insurance
- Paid time off
Quick Apply
Senior Analyst, Regulatory Compliance, Registration and Licensing
Macquarie Group Limited —New York, NY
- $92,000 - $105,000 a year
- Full-time
- Research
- Mid-level
- 2 years
- Paid parental leave
- Health savings account
Night Auditor
Stonebridge —Flushing, NY
- $23 an hour
- Weekends as needed
- Hotel
- Data entry
- Organizational skills
- Disability insurance
- Health insurance
Quick Apply
Senior Internal Auditor
Atlas Air —White Plains, NY
- $87,500 - $117,500 a year
- Overtime
- Hybrid work
- Microsoft Word
- CPA
- Writing skills
Night Auditor - Part Time
Stonebridge —Saddle Brook, NJ
- $21 an hour
- Part-time
- Hotel
- Data entry
- Organizational skills
- Disability insurance
- Health insurance
Quick Apply
Quality Assurance & Compliance Specialist
Metropolitan Center for Mental Health —New York, NY
- $87,000 - $94,000 a year
- Full-time
- Hybrid work
- Background check
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
2d
Jr. Compliance Analyst
HAB BANK —New York, NY
- $55,000 - $60,000 a year
- Office
- Analysis skills
- Communication skills
- Paid holidays
- Health insurance
Auditor 1 (Tax)/Auditor Trainee 1 (Tax)/Auditor Trainee 2 (Tax) (Audit Division) (NY HELPS)
State of New York - Taxation & Finance, State —White Plains, NY
- $53,764 - $85,138 a year
- Overtime
- Background check
- CPA
- Computer literacy
Supplier Risk & Compliance Specialist
New York Power Authority —White Plains, NY
- $104,000 - $130,000 a year
- Mid-level
- Office
- Bachelor's degree
Temporary Compliance Analyst
SUMITOMO MITSUI TRUST BANK, LIMITED —New York, NY
- $60,000 - $70,000 a year
- Temporary
- Hybrid work
- Writing skills
- Basic math
- Mid-level
- Profit sharing
- Commuter assistance
Quick Apply

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Compliance Specialist Senior Wealth Management

City National Bank -
New York, NY

Apply Now

Job Details

$85,000 - $145,000 a year

Benefits

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

Qualifications

Microsoft Excel
Microsoft Outlook
Computer literacy
Bank experience
Relationship management
Microsoft Project

Full Job Description

COMPLIANCE SPECIALIST SENIOR WEALTH MANAGEMENT

WHAT IS THE OPPORTUNITY?

The Compliance Specialist establishes and implements an effective compliance program to ensure regulatory compliance for Bank 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 OCC requirements for Retail Non-Deposit Investment Products (RNDIP), Regulation R, and certain ERISA requirements including issues identification utilizing sound and current compliance industry standards and practices.
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 sound interpretation and advice.
Works within the framework of the established CNB/RBC Testing Program overseeing timely remediation.
Functions as a conduit for identifying and recommending improvements to existing internal operational compliance policy and procedure while recognizing opportunities for enhancement within the full scope of CNB’s compliance foundation
Working knowledge of OCC Retail Non-Deposit Investment Products (RNDIP), Regulation R, associated investment products and services including associated ERISA compliance requirements.
Ongoing monitoring of compliance policy and program requirements for RNDIP and ERISA with special focus on RBC Qualified Professional Asset Manager (QPAM) requirements under PTE 84-14 and similar permitted exceptions.
Knowledge and assistance in preparation of annual and ongoing reports to executive management and the board of directors.

WHAT DO YOU NEED TO SUCCEED?

Required Qualifications*

Bachelor's Degree or equivalent
Minimum 5 years of experience with bank operations and/or compliance operations
Minimum 5 years of experience with risk management and/or Compliance policies and procedures

Additional Qualifications

A FINRA Series 7 and/or 24 is highly desirable
Demonstrated comprehensive knowledge in branch operations, client relationship and risk management with a strong working knowledge of bank back office processes and systems required.
Thorough understanding of applicable laws and banking regulations required.
Proven leadership skills mixed with a propensity towards strong organization and time management skills required.
Must possess the ability to recognize and communicate enhancement opportunities along with developing creative and sound solutions within assigned duties.
Excellent oral and written communication skills with all levels of management required.
Computer proficiency in Microsoft applications of Outlook, Word, Excel, PowerPoint, Access and Project required.
Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs.
For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM).
For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser.
For Wealth Management Compliance roles, experience working within a Compliance Investment Management role.

WHAT'S IN IT FOR YOU?

Compensation

Starting base salary: $85,000 - $145,000 per year for the NYC location. 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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#CR-JR

Apply Now

Refine Your Search

compliance auditor jobs in white plains ny

Compliance Specialist Senior Wealth Management

Coder Auditor/Senior CDI Specialist

Lead Fiduciary Compliance Specialist

Senior Director of Quality Assurance and Food Safety

Leasing & Compliance Specialist (LIHTC)

AVP Internal Auditor

Senior Internal Auditor

Lead Specialist, International Trade Compliance

Internal Audit Manager

Manager, Product Integrity & Social Compliance Analyst (Hybrid, New York)

Internal Auditor

Senior Analyst, Regulatory Compliance, Registration and Licensing

Night Auditor

Senior Internal Auditor

Night Auditor - Part Time

Quality Assurance & Compliance Specialist

Jr. Compliance Analyst

Auditor 1 (Tax)/Auditor Trainee 1 (Tax)/Auditor Trainee 2 (Tax) (Audit Division) (NY HELPS)

Supplier Risk & Compliance Specialist

Temporary Compliance Analyst

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