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

Additional Qualifications

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 :

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.

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

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