City National Bank
New York, NY, USA
Dec 21, 2025
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COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY WHAT IS THE OPPORTUNITY? The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers. The role will also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable laws, rules, and regulations, and ensuring effective controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters. This role is responsible for oversight of best execution, liquidity, derivatives, fair valuation, investment strategy and selection, proxy voting, assisting business areas to implement corrective actions or procedural changes, and applying a risk-based approach. What you will do Serve as a compliance subject matter expert for assigned areas. Review committee...
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