Investment Analytics & Trade Monitoring Manager (Trade Compliance)

INVESTMENT ANALYTICS & TRADE MONITORING MANAGER
ABOUT US
City National Rochdale (CNR) partners with financial advisors and their high-net-worth clients to build intelligently personalized investment portfolios. CNR provides investment research, portfolio management, macroeconomic outlook and strategic asset allocation to help clients meet their long-term goals.
WHAT IS THE OPPORTUNITY?
The VP - Investment Analytics and Trade Monitoring will establish and develop the Compliance Trade Oversight Program by leading, configuring, and overseeing the design, implementation and administration of the compliance rules engine within the Order Management System/Portfolio Management System to mitigate the regulatory, operational and market risks associated with regulatory and individual investment guideline requirements.
WHAT WILL YOU DO?

• Trade Oversight Program: Develop Compliance Trade Oversight Program by leading, configuring, and overseeing the design, implementation and administration of the firm's Order Management System/Portfolio Management System to mitigate the regulatory, operational and market risks associated with regulatory and individual investment guideline requirements.
• Develop and Implement Workflows: Between Order Management System/Portfolio Management System and other applications utilized by Portfolio
• Management team: Manage and train additional analysts covering investment guideline requirements
• Trade Violation Review: Implement and monitor pre- and post-trade violations in a real-time environment through collaboration with the Investment Management and Trading teams. Conduct inquiries of violations and following up through resolution.
• Procedure Development: Develop procedures in coordination with Investment Management teams, IT/Programmers, Operations, Legal and Compliance
• IT Coordination: Coordinate with IT department on system updates and improvements.
• Design and Develop Rules System: Review and interpret new account guidelines; code new accounts in Charles River and maintain the library of compliance rules. Design, test and implement new rules.
• Mitigate Risks: Related to, for example, front-running, circular/wash trading, cross trading, insider trading, price manipulation, improper order handling, concentration limit violations, and securities journaling.
• Reporting: Develop and implement quarterly, monthly, and daily reporting.
• Ad Hoc Projects: Coordinate special projects between members of the CNR Investment Analytics and Monitoring team, the business and IT.

WHAT DO YOU NEED TO SUCCEED?
Required Qualifications

• Bachelor's Degree or equivalent
• Minimum 7 years' experience in financial services industry with demonstrated hands-on experience implementing order management system (experience with Charles River system preferred)
• Strong understanding of variety of financial products and derivatives including equities, fixed income, mutual funds, exchange traded funds, etc.
• Understanding of trading workflows including pre-trade and post-trade compliance rules subject to SEC, FINRA, ERISA, and banking regulatory frameworks.
  Additional Qualifications
• Thorough understanding of applicable laws and banking regulations required.
• Proven leadership skills mixed with a propensity towards strong organization and time management skills required.
• Demonstrated experience managing a team
• 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.
• Experience with a financial institution such as a broker/dealer and/or registered investment adviser.
• Experience working within a Compliance Investment Management role.

WHAT'S IN IT FOR YOU?
Compensation Starting base salary: $127,626 -$ 237,014 per year. 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. accepts applications on an ongoing basis, until filled.