Compliance Analyst Job Listing at City National Bank in Jersey City, NJ (Job ID 91264)

Description

If you are hired to this position, you will be employed by Magnit Global. You will not be employed by City National Bank.

The Opportunity

The Compliance Analyst will review a variety of broker/dealer employee compliance requests to ensure that they are in compliance with company policy. These requests include compliance items such as: notification of a new outside business activity/second job; request to purchase securities in a personal account; requests to provide gifts and/or entertainment to clients; and other FINRA required disclosures.

The Responsibilities

• Responsible for identifying potential policy violations and escalating them appropriately. 
• Participate in resulting investigations and reporting. 
• Report to a supervisor with the Wealth Management Broker/Dealer Compliance division

The Qualifications

• Minimum 4 years compliance experience or minimum 5 years banking operations experience.
• Minimum 3 years' experience with Microsoft program.
• Knowledge of FINRA/Broker-Dealer compliance issues, specifically Form U4 reportable items, such as PST, OBA, financial/criminal disclosures, etc.
• Review daily quotas of compliance items for conformance to company policy
• Escalate potential policy violations to management
• Good knowledge of banking operations, government regulations, accounting principles and account reconcilement.
• Excellent problem solving and analytical skills required.
• Excellent verbal and written communication skills required to interact with all levels of Bank personnel and outside contacts.
• College degree required.

This is the pay range that Magnit reasonably expects to pay for this position: $56.67/hour - $60.75/hour

Benefits: Medical, Dental, Vision, 401K