54 Compliance Officer jobs in Legal

POSITION TITLE: A VP Compliance Officer

Location: Los Angeles, California

Full Time Onsite

Monday through Friday

POSITION OVERVIEW

TASA365s Client, a Community Bank Organization in multiple states; California, Hawaii, Texas, and aiming to open East Coast branches, and its headquarter location in Los Angeles, is searching for an AVP Compliance Officer to assist the Compliance Manager with administering the daily activities of the Banks Compliance Management Program and Risk Assessment. The Compliance Officer will act as a leader and work on various compliance areas including training, monitoring reviews, policy and procedures, and product development, with each department of the bank. This will include planning, developing, executing and reporting results. This position is responsive to new regulations as well as changes to existing regulations. In addition, the Compliance Officer is responsible for providing compliance support, communication, and interpretation of compliance rules and regulations to bank employees, and researching regulatory issues as they arise.

This position requires an in-depth knowledge of federal and state regulations in order to effectively assist in researching, preparing, implementing, maintaining, developing, and tracking all Bank of the Pacific compliance for new and existing products, services, and delivery systems.

POSITION RESPONSIBILITIES:

Work with the Banks Compliance Manager to support the activities of the banks compliance program.

• Maintain a professional level of industry and compliance proficiency by attending banking industry and compliance seminars and subscribing to applicable periodicals.
• Maintain a working knowledge of banking laws and regulations.
• Is kept fully apprised of managements compliance objectives for the bank.
• Establish and maintain good working relationships with other employees, management, external auditors, and examiners.
• Serve as a central resource for bank staff to provide assistance regarding compliance issues.
• Participate in compliance meetings with Compliance Committee Team members.
• Work with the Bank's Compliance Manager to schedule, assign, and conduct compliance training to ensure the banks board of directors, bank officers and staff are provided with sufficient education to ensure compliance.
• Develop and perform compliance monitoring programs to meet compliance objectives, for all departments of the bank. This includes reviewing, evaluating and verifying the soundness, adequacy, and application of controls and procedures.
• Collect, analyze, interpret and document information which supports compliance monitoring results.
• Make recommendations to bank management regarding (1) internal controls and safeguards, (2) regulatory and legal compliance, and (3) changes to the banks policy and procedure manuals.
• Work with the Bank's Compliance Manager with monitoring evaluations in the form of written compliance reports.
• Evaluate management responses to all compliance reports, tracking findings, and verifying that remediation is implemented.
• Review forms and documents for compliance with regulatory requirements.
• Conduct research as assigned and provide information regarding regulations, regulatory changes, and potential procedural impact.
• Serves as a liaison for all regulatory examinations.
• Assist during examinations or audits (both internal and external), including following up on and assisting in resolving cited violated and/or deficiencies.
• Comply fully with all Bank policies and procedures

SKILLS/QUALIFICATIONS

• Maintain high standards of confidentiality and security
• Must possess good computer, written and oral communication skills
• Well-organized, analytical and capable of performing multiple tasks
• Ability to prioritize and use a sound judgment is required
• Ability to time management skills
• Bilingual in Korean and English is preferred

EDUCATION / EXPERIENCE

• Bachelors degree from accredited 4-year University desired or
• Minimum of 3 years experience in a financial institution with Compliance/BSA and/or audit experience

California, Colorado, Connecticut, Nevada, New Jersey, New York, Rhode Island, or Washington Residents Only : The salary range and benefits for California, Colorado, Connecticut, Nevada, New Jersey, New York, Rhode Island, or Washington residents vary from $65,000 - $80,000 per year based on the level of experience. Pay is based on several factors including but not limited to education, work experience, certifications, etc. In addition to your salary, the organization offers benefits such as a comprehensive benefits package, and benefits are subject to eligibility requirements, including but not limited to Medical, Dental, Vision, and Life Insurance, 401k retirement savings plan, and paid federal holidays.

Must be authorized to work in the US.

Equal Employment Opportunity Employer

Our client organization is committed to equal employment opportunities. It is their policy to hire individuals based on merit and qualifications without any regard to any legally protected category, including but not limited to: age, citizenship, color, disability, gender, gender identity or expression, marital, domestic partnership or civil union status, military or veteran status, national origin, ancestry, pregnancy, pregnancy-related conditions, breastfeeding, race, religion, sex, affectional/sexual orientation, atypical hereditary cellular or blood trait, medical condition, or any other characteristic protected under applicable law.

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Join to apply for the Senior Compliance Officer role at Farmers & Merchants Bank of Long Beach

3 months ago Be among the first 25 applicants

Join to apply for the Senior Compliance Officer role at Farmers & Merchants Bank of Long Beach

Farmers & Merchants Bank of Long Beach provided pay range

This range is provided by Farmers & Merchants Bank of Long Beach. Your actual pay will be based on your skills and experience talk with your recruiter to learn more.

Base pay range

$130,266.00/yr - $10,877.00/yr

Job Summary

The Senior Compliance Officer is responsible for managing the Banks compliance program to ensure adherence with state and federal banking laws and regulations, including but not limited to operational compliance, Regulation O, Regulation W, Regulation H, Regulation Y, Foreign Corrupt Practices Act (FCPA) and Bribery Act and interpreting new or changes to existing statues and regulations impacting the Bank.

Essential Duties

• Supports the Chief Compliance Officer and the Bank in evolving and strengthening the compliance program in all areas of the program and where support is needed.
• Monitors federal and state banking laws, regulations and compliance topics to provide support and assistance to the key business stakeholders to assess applicability and impact, so that the Bank can proactively address requirements. Primary areas of support and coverage will include but not limited to corporate safety and soundness requirements related to Regulation O, Regulation W, Regulation H, Regulation Y, Bribery Act and Foreign Corrupt Practices Act,
• Experience with developing compliance monitoring and testing programs, reporting and tracking remedial actions plans with business units.
• Coordinates the creation, review, and implementation of policies and procedures resulting from new laws and regulations and supports the Banks policy governance and change management process.
• Proactively provides advice and guidance to business unit management on key compliance topics related to interpretation of regulations, new or changes to products and services, review of policies and procedures, remedial actions for self-identified issues and/or compliance testing and monitoring, and breach of policy or regulations.
• Responsible for developing periodic written compliance reports to share with Board, executives and business unit management regarding key compliance issues identified.
• Work with key stakeholders to identify remediation plans for noncompliance situations and monitoring for completion
• Stays abreast of changes in banking laws and regulations, industry and regulatory trends, and best practices and keeping peers and business partners informed of relevant information.
• Reviews customer complaints to assess compliance with federal regulations and laws and conducts root cause analysis.
• This role is to support management and to enhance the Banks compliance management system that aligns to the Banks ERM standards and includes risk assessments on key regulations, compliance monitoring and testing, training to business units, marketing and disclosure review, policy and procedure management, complaints program, internal and external reporting, change management, breach management, and exam management.
• While the job description of this role is the primary function, there may be other compliance areas that may require additional oversight as deemed necessary by the Chief Compliance Officer, and the individual must have experience or capability to learn and obtain the expertise to support the activities required.
  
  

Complies with all State and Federal Banking regulatory requirements, including but not limited to: BSA, Anti-Money Laundering OFAC, CIP, Financial Elder Abuse Reporting, Sexual Harassment, Information Security and privacy requirements. This position will elevate suspicious activity to supervisory staff and/or BSA department. Completes compliance and other technical training workshops as assigned.

Basic Knowledge, Skills And Abilities

• Strong critical thinking, judgment, analytical, and problem-solving skills
• Flexible and adaptable to changes in the regulatory environment and requirements of the Bank.
• Excellent interpersonal skills with strong ability to manage multiple projects in a fast-paced environment
• Strong working knowledge of compliance regulations and keeping abreast of emerging changes
• Strong active listening skills and willingness to learn and/or provide advice to foster a strong and cohesive working environment with peers and business units that the team supports
• Strong team player with an ethical and selfless approach to do what is right for the Bank and team
• Respectful with opposing opinions and fosters collaborative interaction in a team environment, and willingness to contribute to team efforts
• Excellent customer service and organizational skills
• Strong understanding of banking products, services, and structure and strong relationship building skills to liaise with other business units to ensure processes are in line with required compliance requirements and policies
• Excellent time management, verbal and written communication skills
• Strong computer skills with MS Office (Excel, Word, Power Point)
  
  

Officer Title Eligibility

For qualified positions, the Bank may designate an Officer Title to an employee who seeks and/or meets defined competencies for an eligible position. This position qualifies for the officer title(s) Vice President, First Vice President.

Equipment Operated

• Desk Top Computers
• Standard Office Equipment (copiers, fax machines)
  
  

Physical Requirements & Work Environment

• Requires sitting for prolong periods of time.
• Requires lifting of 25 lbs.
• Office setting w/controlled temperature
  
  

Education And Experience

• Bachelors Degree is required
• Working experience in a regional banking organization (RBO) is required.
• 10+ years of compliance experience and familiarity with risk management requirements of an RBO
• Industry accreditation is preferred, e.g., CRCM.
• Strong working knowledge of banking products, operations, structure and/or lending practices
• Extensive knowledge of state and federal banking laws and regulations
• The ability to work independently, deal professionally and effectively with peers and superiors is essential, and strong written and oral communications skills.
  
  

This job description is not intended to be all-inclusive, and employees will be required to perform additional related work duties as assigned by their immediate supervisor and/or management.

Farmers and Merchants Bank of Long Beach reserves the right to revise or change job duties and responsibilities as the need arises. This job description does not constitute a written or implied contract of employment. Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Legal
• Industries Banking

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FAIR BANKING COMPLIANCE OFFICER

WHAT IS THE OPPORTUNITY?

The Fair Banking Compliance Officer is responsible for assessing risks related to unfair, deceptive, and abusive acts and practices (UDAP/UDAAP) and Fair Lending (FL) across the Bank's products and services, including its affiliates, specifically focused on deposits and consumer lending. This role involves providing guidance to assigned lines of business, analyzing decision-making processes, and evaluating procedures to identify and mitigate compliance risks that impact clients and their accounts. Once risks are identified, the Compliance Officer collaborates with the line of business to address them effectively. Additionally, This position requires a strong understanding of the compliance laws and regulations as they apply to a federal financial institution, as well as expertise in banking operations as it pertains to client accounts.

Compliance Risk Management Division

This is a great opportunity to grow your career with a stable and expanding organization as a member of the Fair and Responsible Banking Department within City National's Compliance Risk Management team. The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth.

WHAT WILL YOU DO?

• Partner and provide FL/UDAAP guidance to the assigned lending and/or deposit lines of business in the review, development, and implementation, of new or changed products, services, and systems, including marketing.

• Partner with the business units to create workflows and internal control documentation to assist in implementation and understanding of processes as they relate to their specific area of responsibility.

• Work with Corporate Compliance colleagues to include reviews performed by the Compliance Officer are incorporated into applicable risk assessments.

• Partner with business/operations units to remediate FL/UDAAP risk identified in internal and external examinations.

• Apply both technical and general business knowledge to resolve the issues in assigned function.

• Integrates activities with other departments to accomplish common goals.

• Consult with the business units' compliance officers or other management as to any deficiencies, and monitor to ensure that required changes are made.

• Perform Fair Lending/UDAAP qualitative analyses for assigned lines of business.

• Work to ensure that products and services provided by the Bank and its affiliates do not create a potential for FL/UDAAP or regulatory violations.

• Maintain up-to-date knowledge of Bank policies, procedures and industry best practices.

• Develop and uses sound diagnostic and analytical processes that will identify risk.

• Work with all levels of the company regarding the assessment of risk and corrective action plan, if needed.

• Identify and address training needs by partnering with business areas and Compliance Training Manager.

WHAT DO YOU NEED TO SUCCEED

Must-Have *

• Bachelor's Degree or Equivalent Experience.

• Minimum 5 years of experience in Compliance or Operations analysis roles that work closely with the Compliance area.

• Minimum 3 years of experience with writing policies and procedures and implementing changes to programs.

• Minimum 3 years of experience with developing and implementing changes to processes.

Skills and Knowledge

• Must understand UDAP and UDAAP as they relate to the deposit line of business.

• Must understand Fair Lending, UDAP, and UDAAP as it relates to consumer lending.

• Must be able to write analyses, reports and correspondence, in a clear and concise manner.

• Educational experience, through in-house training sessions, formal school, or financial industry related curriculum, should be applicable to the financial industry preferred.

• Exceptional oral and interpersonal communication skills.

• Ability to apply common sense to carry out instructions and instruct others, interpret documents, understand procedures, speak clearly to customers and employees.

• Highly developed analytical and diagnostic skills that allow the colleague to assess all areas of the company whether the colleague does or does not have specific expertise in that area.

• Ability to work with no supervision while performing duties.

• Must be able to perform this position safely, without endangering the health or safety to himself or herself or others.

Compensation

Starting base salary: $92,114 - $56,880 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.

*To be considered for this position you must meet at least these basic qualifications

The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.

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. Get an inside look at our

INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT

City National Bank is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by law.

ABOUT CITY NATIONAL

City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with 92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer 96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than 11 million in charitable contributions to nonprofits that support the communities it serves.

*City National Bank does business in Miami and the state of Florida as CN Bank.

For more information about City National, visit

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#CR-JR

Salary: $69,300.00 - $39,749.00 Annually
Location : CITY OF LOS ANGELES, CA
Job Type: FULL-TIME
Job Number: 1179 OP 2023/07/21 C
Department: Finance
Opening Date: 07/26/2024
Closing Date: Continuous

DUTIES
ANNUAL SALARY
69,300 to 101,309; 83,165 to 121,542; and 95,609 to 139,749

NOTES :

1. Annual salary is at the start of the pay range. The current salary range is subject to change. Please confirm the starting salary with the hiring department before accepting a job offer.
2. Candidates from the eligible list are normally appointed to vacancies in the lower pay grade positions.

A Tax Compliance Officer analyzes, interprets and enforces various tax, permit and fee liabilities, including the City business, parking and transient occupancy taxes and City permit ordinances through independent field and office investigations; may supervise other Tax Compliance Officers and clerical staff by directing and coordinating the activities of a field enforcement or office enforcement section; and may assist at a public counter or the call center providing technical assistance to customers via telephone, on-line and in-person.
REQUIREMENT(S)/MINIMUM QUALIFICATION(S)

1. Two years of full-time paid experience as a Tax Compliance Aide with the City of Los Angeles; or
2. Four years of full-time paid experience as a Customer Service Specialist with the City of Los Angeles; or
3. A Bachelor's degree or higher from an accredited four-year college or university.

PROCESS NOTES

1. Applicants who lack six months or less of the above required experience may file for this examination. However, they cannot be appointed until the full experience requirement is met.
2. Some positions may require a valid California driver's license. Candidates may not be eligible for appointment to these positions if their record within the last 36 months reflects three or more moving violations and/or at-fault accidents, or a conviction of a major moving violation (such as DUI).
3. Please note that qualifying education must be from a college or university accredited by a City of Los Angeles recognized agency. A list of approved accrediting agencies can be found at
4. Candidates completing the examination process may be contacted by the Personnel Department to provide required proof of qualifying degree. Applicants who wish to expedite this process may attach a copy of their qualifying degree to their on-line application at the time of filing in the Attachments section.
5. Upon appointment, a Tax Compliance Officer may be required to furnish his or her own automobile, properly insured for use in City service. Mileage will be paid according to established rates.

WHERE TO APPLY & APPLICATION DEADLINE
Applications will only be accepted on-line. When you are viewing the on-line job bulletin of your choice, simply scroll to the top of the page and select the "Apply" icon. On-line job bulletins are also available at .
NOTE:
Applicants are urged to apply early to ensure you have time to resolve any technical issues you may encounter.
Applications will only be accepted on-line on the following dates listed below:

From FRIDAY, JULY 21, 2023 to THURSDAY, AUGUST 3, 2023

From FRIDAY, JULY 26, 2024 to THURSDAY, AUGUST 8, 2024

The examination may close without prior notice at any time after a sufficient number of applications have been received. Filing periods may change without prior notice or additional dates may be added, as needed, at a later date. For administrative purposes, filing will close periodically and reopen on the dates noted in the "Application Deadline" section of this bulletin.

In accordance with Civil Service Rule 4.2, all applicants who apply may not be tested in this examination. To meet anticipated hiring needs, only a limited number of qualified applicants will be invited to participate in the selection process in the following order: 1) Los Angeles City Promotional applicants who meet the minimum requirements. You must have received a regular appointment to a City position or be on a reserve list to apply for this examination as a promotional candidate; 2) Applicants currently employed by the City of Los Angeles on a part-time or exempt basis who meet the minimum requirements; 3) Remaining applicants who meet the minimum requirements in sufficient numbers to meet hiring needs based on a random sampling of those qualified candidates. Applicants not selected to be tested may re-apply in a subsequent filing period in order to be considered for that period's selection process.

SELECTION PROCESS
Examination Weight:

Multiple-Choice Test - 100%
The examination will consist entirely of a weighted multiple-choice test administered and proctored on-line. In the on-line multiple-choice test, the following competencies may be evaluated: Reading Comprehension; Mathematics; Judgment and Decision Making; Attention to Detail; Interpersonal Skills; Customer Service; Job Knowledge, including knowledge of: bookkeeping terminology, such as assets, liabilities, stockholders, revenues and expenses; the structures and methods of operations of various types of businesses in order recognize potential permit or tax violations; factors necessary to read street maps; and computer programs, including Microsoft Office Suite and Google Suite programs; and other necessary knowledge, skills, and abilities.

Additional job analysis information can be obtained by going to and clicking on Competencies under Tax Compliance Officer.

The multiple-choice test will be proctored and administered on-line during a single session. Candidates invited to participate in the on-line multiple-choice test will be able to take the test from a remote location (i.e., their home) using a computer with a webcam and a reliable internet connection. Candidates will receive an e-mail from the City of Los Angeles outlining the dates and specific steps on how to take the multiple-choice test on-line. Candidates who do not complete and submit the remote proctored multiple-choice test on-line using a computer by the specified date and time will not be considered further in this examination.

For candidates who apply between FRIDAY, JULY 21, 2023 and THURSDAY, AUGUST 3, 2023 , it is anticipated that the on-line multiple-choice test will be administered between WEDNESDAY OCTOBER 4, 2023 and TUESDAY, OCTOBER 10, 2023

For candidates who apply between FRIDAY, JULY 26, 2024 and THURSDAY, AUGUST 8, 2024 , it is anticipated that the on-line multiple-choice test will be administered between WEDNESDAY OCTOBER 9, 2024 and TUESDAY, OCTOBER 15, 2024

FAQs for on-line testing are available at . Only candidates who demonstrate a hardship may be offered the option to take the multiple-choice test onsite at a City facility.

NOTES :

1. This examination is based on a validation study, and as provided by the Civil Service Commission Rule 4.20, the multiple-choice test will not be subject to candidate inspection.
2. As a covered entity under the Fair Employment and Housing Act and Title II of the Americans with Disabilities Act, the City of Los Angeles does not discriminate on the basis of disability and upon request, will provide reasonable accommodations to ensure equal access to its programs, services, and activities. To request a disability accommodation, please complete the Disability Accommodation Form within 14 calendar days of the submittal of the City application. The Disability Accommodation Form can be obtained at
3. Applications are accepted subject to review to ensure that minimum qualifications are met. Candidates may be disqualified at any time if it is determined that they do not possess the minimum qualifications stated on this bulletin.
4. In conjunction with Civil Service Rules, applicants who have received a regular appointment to a City position or are on a reserve list will be considered Promotional candidates while all other applicants will be considered Open candidates.
5. Seniority credit at the rate of 0.25 of a point for each year of continuous City service will be added to the weighted test score of each promotional candidate.
6. The promotional list will ordinarily be used ahead of the open competitive list. However, if open competitive candidates receive a higher score, without military credits, than the highest available promotional candidate, after adding 0.25 of a point seniority credit for each year of service, the Civil Service Commission, upon request of the appointing authority, may approve certification of such competitive candidates ahead of the promotional candidates.
7. A final average score of 70% or higher is required to be placed on the eligible list
8. Your name may be removed from the open competitive list after 6 months.
9. Your rank on the employment list may change as candidates from other administrations of the examination are merged onto one list.
10. You may take the Tax Compliance Officer multiple-choice test only once every 24 months under this bulletin. If you have taken the Tax Compliance Officer multiple-choice test during an open filing period in the Personnel Department within the last 24 months under this bulletin, you may not file for this examination at this time.
11. In accordance with Civil Service Rule, Sec. 4.24, review periods may be combined. Candidates in the examination process may file protests as provided in Sec. 4.20, 4.22 and 4.23 as applicable and within the required time frame; however, the Personnel Department may respond to and resolve protests prior to the establishment of the eligible list

Notice:

If you receive and accept an offer of employment to a regular position with the City of Los Angeles, your employee benefit coverage (including health and dental coverage as well as life insurance) will commence approximately six weeks after your original regular appointment. Not all positions in the City receive benefit coverage; you should inquire regarding the availability of employee benefits prior to accepting a position. All City employees are required to be Disaster Service Workers.
THIS EXAMINATION IS TO BE GIVEN BOTH ON AN

INTERDEPARTMENTAL PROMOTIONAL AND OPEN COMPETITIVE BASIS

The City of Los Angeles does not discriminate on the basis of race, religion, national origin, sex, age, marital status, sexual orientation, gender identity, gender expression, disability, creed, color, ancestry, medical condition (cancer), or Acquired Immune Deficiency Syndrome
AN EQUAL EMPLOYMENT OPPORTUNITY EMPLOYER
For additional information and FAQs regarding the City's hiring process, please go to:
There are many things to consider in a new employer. Visit the following webpage to view benefits the City of Los Angeles offers its employees:
01

To be PROPERLY AND PROMPTLY notified of the status of my application, I UNDERSTAND that I MUST provide on my City application, the following information:

-Working E-mail address
-Telephone Number
-Official social security number

I UNDERSTAND that I MUST provide a working email address on my application where I will receive notifications regarding the status of my application and the selection process.

I UNDERSTAND that important information regarding the status of my application and the selection process will only be sent via E-MAIL to the email address I provided.

I UNDERSTAND that it is MY RESPONSIBILITY to ensure that the email address I provided is a working email and that I will check my email regularly to ensure I receive any communication as it relates to the examination promptly.

I UNDERSTAND that the City of Los Angeles Personnel Department is NOT RESPONSIBLE for any lost or redirected emails and that it is MY RESPONSIBILITY to add to my email contact list to avoid email notifications related to this examination from being classified as "spam" or "junk" mail.

• I have read these statements to their fullest and will provide a working e-mail address on my application in order to receive status of my application regarding this examination.

02

I UNDERSTAND that I am required to describe, IN DETAIL, my appropriate qualifying experience in the Work Experience Section of my application.

I UNDERSTAND that, if qualifying with my City experience, that I MUST indicate my appropriate job classification in my work history and NOT ANY WORKING TITLE that I believe is designated to me.

I UNDERSTAND that if I attach a resume and/or cover letter IN LIEU of completing the Work Experience Section, my application is INCOMPLETE and WILL NOT be considered for this examination, and my application WILL NOT be further processed.

In addition to including my qualifying experience, I UNDERSTAND that I should list ALL jobs, regardless of duration, including part-time jobs, military service and any periods of unemployment during my entire work history.

• I have read these statements to their entirety and understand them completely and to their fullest.

03

I am currently:

• A City of Los Angeles employee having received a regular appointment.
• An exempt City of Los Angeles employee, but have civil service status.
• An exempt City of Los Angeles employee without receiving civil service status.
• A City of Los Angeles employee in a temporary training position.
• A City of Los Angeles employee on a part-time basis.
• On a regular reserve list for the City of Los Angeles.
• Not employed with the City of Los Angeles.

04

Requirement #1:

I have the following amount of full-time paid experience as a Tax Compliance Aide with the City of Los Angeles:

Please note that qualifying experience for this requirement must be from the City of Los Angeles ONLY .

• Between 1 and 8 months
• Between 9 and 17 months
• Between 18 and 23 months
• 24 months or more
• THIS STATEMENT DOES NOT APPLY TO ME

05

Requirement #2:

I have the following amount of years of full-time paid experience as a Customer Service Specialist with the Cityof Los Angeles
Please note that qualifying experience for this requirement must be from the City of Los Angeles ONLY.

• Between 1 and 29 months
• Between 30 and 41 months
• Between 42 and 47 and months
• 48 months or more
• THIS STATEMENT DOES NOT APPLY TO ME

06

Requirement #3:

I possess a Bachelor's degree or higher from an accredited four-year college or university.

Note: Candidates completing the examination process will be contacted by the Personnel Department to provide required proof of qualifying degree.
Applicants who wish to expedite this process may attach a copy of their qualifying degree to their on-line application at the time of filing in the Attachments section.Qualifying education must be from a college or university accredited by a City of Los Angeles recognized agency. A list of approved accrediting agencies can be found at:

• Yes, I possess a Bachelor's degree or higher from an accredited four-year college or university.
• THIS STATEMENT DOES NOT APPLY TO ME.

07

IMPORTANT NOTE: I have read the above questions carefully and answered each one accurately. I understand that if I do not provide correct information that my application will be disqualified and will not be considered further for this examination.

I understand that if I submit more than one application, my newest application will be considered and all others will be considered duplicates and will not be reviewed.

You should include in the work experience section of your application any jobs you wish to be considered as you will be unable to add or change your information after submission .

• Yes, I have read the above statements carefully and understand them to their fullest.

08

I have taken the Tax Compliance Officer exam in the last 24 months.Per note#10 of the job bulletin you may take the Tax Compliance Officer multiple-choice test ONLY once every 24 months under this bulletin. If you have taken the Tax Compliance Officer multiple-choice test during an open filing period in the Personnel Department within the last 24 months under this bulletin, you may not file for this examination at this time.

• No
• Yes

Required Question

*FAIR BANKING COMPLIANCE OFFICER*
*WHAT IS THE OPPORTUNITY?*
The Fair Banking Compliance Officer is responsible for assessing risks related to unfair, deceptive, and abusive acts and practices (UDAP/UDAAP) and Fair Lending (FL) across the Bank's products and services, including its affiliates, specifically focused on deposits and consumer lending. This role involves providing guidance to assigned lines of business, analyzing decision-making processes, and evaluating procedures to identify and mitigate compliance risks that impact clients and their accounts. Once risks are identified, the Compliance Officer collaborates with the line of business to address them effectively. Additionally, This position requires a strong understanding of the compliance laws and regulations as they apply to a federal financial institution, as well as expertise in banking operations as it pertains to client accounts.
*Compliance Risk Management Division*
This is a great opportunity to grow your career with a stable and expanding organization as a member of the Fair and Responsible Banking Department within City National's Compliance Risk Management team. The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth.
*WHAT WILL YOU DO?*
* Partner and provide FL/UDAAP guidance to the assigned lending and/or deposit lines of business in the review, development, and implementation, of new or changed products, services, and systems, including marketing.
* Partner with the business units to create workflows and internal control documentation to assist in implementation and understanding of processes as they relate to their specific area of responsibility.
* Work with Corporate Compliance colleagues to include reviews performed by the Compliance Officer are incorporated into applicable risk assessments.
* Partner with business/operations units to remediate FL/UDAAP risk identified in internal and external examinations.
* Apply both technical and general business knowledge to resolve the issues in assigned function.
* Integrates activities with other departments to accomplish common goals.
* Consult with the business units' compliance officers or other management as to any deficiencies, and monitor to ensure that required changes are made.
* Perform Fair Lending/UDAAP qualitative analyses for assigned lines of business.
* Work to ensure that products and services provided by the Bank and its affiliates do not create a potential for FL/UDAAP or regulatory violations.
* Maintain up-to-date knowledge of Bank policies, procedures and industry best practices.
* Develop and uses sound diagnostic and analytical processes that will identify risk.
* Work with all levels of the company regarding the assessment of risk and corrective action plan, if needed.
* Identify and address training needs by partnering with business areas and Compliance Training Manager.
*WHAT DO YOU NEED TO SUCCEED*
*Must-Have**
* Bachelor's Degree or Equivalent Experience.
* Minimum 5 years of experience in Compliance or Operations analysis roles that work closely with the Compliance area.
* Minimum 3 years of experience with writing policies and procedures and implementing changes to programs.
* Minimum 3 years of experience with developing and implementing changes to processes.
*Skills and Knowledge*
* Must understand UDAP and UDAAP as they relate to the deposit line of business.
* Must understand Fair Lending, UDAP, and UDAAP as it relates to consumer lending.
* Must be able to write analyses, reports and correspondence, in a clear and concise manner.
* Educational experience, through in-house training sessions, formal school, or financial industry related curriculum, should be applicable to the financial industry preferred.
* Exceptional oral and interpersonal communication skills.
* Ability to apply common sense to carry out instructions and instruct others, interpret documents, understand procedures, speak clearly to customers and employees.
* Highly developed analytical and diagnostic skills that allow the colleague to assess all areas of the company whether the colleague does or does not have specific expertise in that area.
* Ability to work with no supervision while performing duties.
* Must be able to perform this position safely, without endangering the health or safety to himself or herself or others.
*Compensation*
Starting base salary: $92,114 - $56,880 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
**To be considered for this position you must meet at least these basic qualifications*
The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
*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. Get an inside look at our AND EQUAL OPPORTUNITY EMPLOYMENT*
City National Bank is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by law.
ABOUT CITY NATIONAL
City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with 92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer 96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than 11 million in charitable contributions to nonprofits that support the communities it serves.
*City National Bank does business in Miami and the state of Florida as CN Bank.
For more information about City National, visit

The Chief Compliance Officer shall be responsible for leading, overseeing, and managing the Compliance Program and all affiliated programs. The role shall ensure the overall effective operations of our Compliance Program and will coordinate efforts across the enterprise including, but not limited to, health plan operations, functional leadership, Clinical Delivery Entities, and delegated entities.

ESSENTIAL FUNCTIONS :

• Participating in enterprise strategy and organizational change planning as a thought leader to ensure compliance program functions meet the organization's goals proactively over time evaluating risk, talent, process and technology ongoing to stay apace with change.
• Developing, updating, and implementing Compliance Policies and Procedures (P&Ps) and supporting protocols required to maintain compliance with all federal and state healthcare program requirements, health plan regulations, and accreditation standards, while ensuring that all Compliance P&Ps are reviewed annually and revised. Reviewing and revising the Code of Conduct, Compliance P&Ps, and processes as necessary to reflect legal, regulatory, and administrative changes, industry best practices, and to address any identified compliance concerns or gaps
• Creating and coordinating education training programs to ensure that the Board, officers, employees, First Tier Downstream and Related Entities (FDRs), and other relevant individuals and entities are informed about the Enterprise Compliance Program, our Code of Conduct, the Company's compliance policies and procedures, and all applicable statutory, regulatory, and administrative requirements.
• Identifying, prioritizing, and remediating Compliance risks across the health plan, delegated entities, Clinical Delivery Entities, and any other relevant parties, along with developing associated risk mitigation strategies and escalating to the Chief Corporate Affairs Officer, CEO, and Board (as needed).
• Developing formal protocols for managing compliance violations, including the development and implementation of corrective action plans, enforcing disciplinary actions, and validation of remediation efforts to ensure regulatory adherence.
• Ensuring all Board members, employees, vendors, and entities receive appropriate Compliance education and training, including training on general compliance, fraud, waste, and abuse (FWA), and high-risk compliance areas throughout the enterprise.
• Ensuring that required credentialing and federal and state exclusion checks are performed on applicable staff and vendors in alignment with federal and state regulations and industry leading practices.
• Serving as Chair of the Executive Compliance Committee, facilitating meetings on a monthly basis or more frequently as necessary, and ensuring appropriate reporting is provided to the Committee, in alignment with regulations and industry leading practices.
• Ensuring all Board members, employees, vendors, and entities receive appropriate Compliance education and training, including training on general compliance, fraud, waste, and abuse (FWA), and high-risk compliance areas throughout the enterprise.
• Communicating solutions and recommendations across functions demonstrating knowledge of business to successfully integrate compliance mandates into the business to prevent risk.
• Conducting an annual, comprehensive Compliance Risk Assessment and developing the annual Compliance Work Plan (aligned with OIG standards) that is presented to the leadership and Board of Directors for review and approval. Conducting regular Compliance auditing and monitoring activities for the enterprise, delegated entities, and Clinical Delivery Entities in accordance with the Compliance Work Plan.
• Reporting to the Board of Directors on a quarterly basis, or more frequently as necessary, and providing Compliance Program updates, escalations, and critical decisions needed in alignment with regulations and industry leading practices.
• Coordinating company's response to any governmental requests, subpoenas, inquiries, or investigations
• Collaborating with our internal legal counsel and outside counsel, as necessary, to address any legal matters or concerns that require compliance expertise
• Reviewing, analyzing, and understanding all federal, state, and other relevant regulations that impact company; and assisting with all aspects of operationalization to ensure a compliant enterprise
• Other duties as assigned

SUPERVISORY RESPONSIBILITIES :

Supervises / Manages others (i.e. hires, performance reviews, corrective action, etc.)

EDUCATION, CERTIFICATIONS & EXPERIENCE :

• Bachelor's Degree (preferred) or equivalent experience
• Master's degree in business administration, health care administration, or Juris Doctor preferred

Preferred Certifications or Licenses :

• Certification in Healthcare Compliance (CHC), Healthcare Privacy Compliance (CHPC), Health Care Compliance Association (HCCA) membership, and / or course accreditation from HCCA or similar organization preferred.

Experience Preferred :

• At least 10 years of experience with healthcare compliance programs, preferably for Medicare Advantage, California Medi-Cal, and Special Needs Programs (e.g., D-SNP, FIDE-SNP, C-SNP, I-SNP).

SKILLS / ABILITIES :

• Knowledge of regulatory requirements and industry best practices for compliance programs. This includes not only knowledge of the seven elements of compliance, as required by the OIG and other regulatory agencies, but also hands-on experience in leading, implementing, and managing effective compliance programs.
• Knowledge of key health plan operations (e.g., Pharmacy / PBM, claims, risk adjustment) rules, regulations, and guidance.
• Knowledge and practical application of the healthcare FWA rules, and regulations, including the Anti-Kickback Law, the Stark Law, the False Claims Act, and applicable California state regulations.
• Excellent communication and analytical skills
• Ability to seamlessly work in complex environments, including interacting with senior-level executives, clinicians, attorneys, and operations / administrative staff.

COMPETENCIES :

• Leadership - Skilled to develop others
• Business Insight - In-Depth understanding of the business
• Problem Solving - Good problem-solving skills
• Strategic Mindset - Anticipates future trends and implications accurately

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Chief Compliance Officer • Anaheim, CA, US

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Job Summary

Job Description

What is the opportunity?

The Sr. Compliance Tester leads and conducts independent compliance reviews for the U.S. Compliance Testing Program, a critical program element of the U.S. Regulatory Compliance Management framework for RBC's CUSO/IHC. This position is responsible for developing a sound approach to testing, executing testing, overseeing the work of other testers assigned to the review, and producing quality final testing reports and work-papers that thoroughly document testing conducted and corresponding conclusions. The Sr. Compliance tester may also support issue validation as well as other initiatives aimed at enhancing the overall Compliance Testing Program.

What will you do?

• Conduct testing across the CUSO/IHC, inclusive of the testing of controls and adherence to regulatory requirements
• Perform research on regulatory requirements and business controls to determine optimal approach to testing while employing a risk-based approach
• Lead reviews and guide other testers, but may also assist other team members with completing reviews and/or portions of testing
• Document conclusions of testing, including detailed workpapers as well as written reports documenting conclusions and findings
• Assist with the reporting of the status of reviews in support of Test Plan Governance, including progress to plan reporting and change management
• Provide ideas for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Partners, and industry research
• Responsible for assessing issues and advising on ratings, root causes, etc., and effectively communicating to Line of Business and compliance partners to obtain agreement
• Responsible for escalating high risk issues found to senior management
• Responsible for issue entry to CALMA and RegComp and oversight that corrective action has been taken and issues satisfactorily remediated

Must haves:

• Understanding of 12 CFR 9 requirements and regulatory expectations noted in corresponding OCC handbooks.
• Understanding of risk management concepts for Trust and Fiduciary business areas, including key account administration best practices by various account types.
• 5+ years of experience in Banking Compliance Testing, Internal Audit, or an examiner at a financial institution's regulatory agency.
• Proven experience in compliance testing methodologies and/or audit experience.

Nice to Have

• Experience operating in a highly matrixed environment.
• Excellent communication and presentations skills.
• Excellent organizational skills.
• Excellent collaboration and team-building skills.

What's in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $90,000-$135,000, depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC's high-performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value

Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

CNB, 350 SOUTH GRAND AVENUE:LOS ANGELES

City:

Los Angeles

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-06-13

Application Deadline:

2025-07-31
Note : Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

I nclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

Join our Talent Community

Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.

Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.

Job Summary

Job Description

What is the opportunity?

The Sr. Compliance Tester leads and conducts independent compliance reviews for the U.S. Compliance Testing Program, a critical program element of the U.S. Regulatory Compliance Management framework for RBC's CUSO/IHC. This position is responsible for developing a sound approach to testing, executing testing, overseeing the work of other testers assigned to the review, and producing quality final testing reports and work-papers that thoroughly document testing conducted and corresponding conclusions. The Sr. Compliance tester may also support issue validation as well as other initiatives aimed at enhancing the overall Compliance Testing Program.

What will you do?

• Conduct testing across the CUSO/IHC, inclusive of the testing of controls and adherence to regulatory requirements
• Perform research on regulatory requirements and business controls to determine optimal approach to testing while employing a risk-based approach
• Lead reviews and guide other testers, but may also assist other team members with completing reviews and/or portions of testing
• Document conclusions of testing, including detailed workpapers as well as written reports documenting conclusions and findings
• Assist with the reporting of the status of reviews in support of Test Plan Governance, including progress to plan reporting and change management
• Provide ideas for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Partners, and industry research
• Responsible for assessing issues and advising on ratings, root causes, etc., and effectively communicating to Line of Business and compliance partners to obtain agreement
• Responsible for escalating high risk issues found to senior management
• Responsible for issue entry to CALMA and RegComp and oversight that corrective action has been taken and issues satisfactorily remediated

Must haves:

• Understanding of 12 CFR 9 requirements and regulatory expectations noted in corresponding OCC handbooks.
• Understanding of risk management concepts for Trust and Fiduciary business areas, including key account administration best practices by various account types.
• 5+ years of experience in Banking Compliance Testing, Internal Audit, or an examiner at a financial institution's regulatory agency.
• Proven experience in compliance testing methodologies and/or audit experience.

Nice to Have

• Experience operating in a highly matrixed environment.
• Excellent communication and presentations skills.
• Excellent organizational skills.
• Excellent collaboration and team-building skills.

What's in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $90,000-$135,000, depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC's high-performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

CNB, 350 SOUTH GRAND AVENUE:LOS ANGELES

City:

Los Angeles

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-06-13

Application Deadline:

2025-07-31

Note : Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

I nclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

Join our Talent Community

Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.

Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.