Lead Fiduciary Compliance Specialist

LEAD FIDUCIARY COMPLIANCE SPECIALIST
WHAT IS THE OPPORTUNITY? The Lead Bank Fiduciary Compliance Specialist supports the execution, oversight, and continuous improvement of compliance programs within Wealth Management with specific focus on OCC 12 CFR 9 Fiduciary Activities and state fiduciary regulations including Delaware. This role partners closely with Compliance Officers and business stakeholders to ensure alignment with regulatory requirements while enhancing operational efficiency across functions.

The position is responsible for monitoring compliance activities, supporting risk assessments and testing efforts, and contributing to the development and implementation of policies, procedures, and governance frameworks. In addition, the role serves as a liaison between compliance and business teams to identify process improvements, drive consistency in execution, and support business initiatives within a controlled and compliant environment. WHAT WILL YOU DO?

Support the execution and ongoing enhancement of Wealth Management compliance programs, ensuring alignment with regulatory requirements and internal policies with specific focus on OCC 12 CFR 9 fiduciary compliance program requirements.

Monitor, analyze, and escalate compliance risks and issues, including client activity and regulatory exposure
Partner with Compliance Officers and business stakeholders to support risk assessments, compliance testing, and monitoring activities
Track and report on compliance testing results, open issues, and remediation efforts
Act as a liaison between compliance and business units to ensure consistent interpretation and application of policies and regulatory requirements
Contribute to the development, implementation, and maintenance of compliance policies, procedures, and governance frameworks
Support regulatory and internal reporting requirements, including documentation of testing and monitoring activities
Identify opportunities to enhance compliance processes and operational workflows; support implementation of improvements
Assist in evaluating business unit activities, new products, and services to ensure compliance with applicable laws and regulations
Support exam management activities and interactions with regulatory agencies, including preparation and follow-up
Monitor and track compliance training and continuing education requirements
Analyze compliance program effectiveness and support standardization efforts across functions
Provide guidance to internal stakeholders by interpreting regulatory requirements within
WHAT DO YOU NEED TO SUCCEED?

Required Qualifications
Bachelor's Degree or equivalent
7 years of experience in banking, wealth management, compliance, or risk management
5 -7 years of experience supporting compliance programs, regulatory requirements, or operational risk activities
Exposure to compliance testing, monitoring, reporting, or policy implementation
Additional Qualifications
Experience in Wealth Management or Trust & Fiduciary compliance
Familiarity with compliance risk management systems or frameworks
Relevant certification (e.g., CRCM) or progress toward certification preferred
Strong understanding of banking regulations, compliance frameworks, and risk management principles
Working knowledge of Wealth Management, Trust & Fiduciary, or investment-related compliance environments
Ability to interpret and apply regulatory requirements to business processes
Experience supporting compliance testing, monitoring, and issue remediation
Strong analytical and problem-solving skills
Excellent organization and time management skills
Strong written and verbal communication skills across all levels
Ability to identify process improvement opportunities and support implementation
Experience working cross-functionally between compliance and business teams
Proficiency in Microsoft Office (Outlook, Excel, Word, PowerPoint)
Experience supporting regulatory exams or audits preferred
WHAT'S IN IT FOR YOU?

Compensation
Starting base salary: $160,000 - $240,000 per year in NYC. Starting base salary: $140,000 - $230,000 per year in MN and Charlotte. 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. Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.