Trade Compliance & Investment Guidelines Lead
Listed on 2026-10-17
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Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Risk Manager/Analyst -
Management
Regulatory Compliance Specialist, Risk Manager/Analyst
City National Bank is seeking a Manager - Investment Guidelines & Trade Compliance Oversight to build and lead a robust compliance rules engine within OMS/PMS (Charles River). You will translate guidelines into system rules, oversee violations, and partner with Investment Management, IT and Legal to mitigate regulatory risk.
The role requires mentoring analysts, strong leadership, and deep knowledge of trading workflows under SEC, FINRA, ERISA, and banking regulations.
As a Trade Compliance & Investment Guidelines Lead, you will play an important part at City National Bank in City of Rochester, NY, United States.
This posting is for the Trade Compliance & Investment Guidelines Lead role at City National Bank, based in City of Rochester, NY, United States.
We are looking to fill the Trade Compliance & Investment Guidelines Lead position at City National Bank in City of Rochester, NY, United States.
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