COMPLIANCE ANALYST-SAFE

WHAT IS THE OPPORTUNITY?
Reporting to the Human Resources Compliance Manager, this position is responsible for maintaining the HR Helpline and responding to colleague questions regarding general areas of policy, payroll, benefit administration, and compliance and routing to appropriate HR functional areas as needed. The Analyst will support compliance in all areas of Human Resources in accordance with CNB policies and procedures and local, state and federal laws. This position is plays a critical role in the SAFE Act compliance program. The main focus of the job is to perform SAFE Act registration activities, provide updates to the Bank's policies and procedures for SAFE Act and employee training for SAFE Act, as needed. This position will make recommendations concerning the financial responsibility, character, and general fitness of prospective SAFE Act registered individuals. This position is responsible for identifying risks and controls, monitors the business unit control environment to evaluate effectiveness of its compliance controls, provide surveillance for and implementation of new and changing laws and regulations, related to SAFE Act and associated compliance requirements, and escalation and implement remediation of compliance issues.
WHAT WILL YOU DO?

• Leading employees through the SAFE Act registration process including, processing employee information to initiate registration, identifying positions requiring registration, ensuring employees in such positions are registered, reviewing employee information, tracking registrations, reviewing background/credit reports, and administering the Bank's NMLS registration process.
• Registering colleagues and dual-hatted financial advisors and maintaining the Bank's compliance with SAFE Act and associated activities.
• Reviewing and processing employee disclosures and updating registrations.
• Research line of business questions and responding to department SAFE Act compliance questions
• Conducting and documenting reviews and addressing findings with employees and supervisors.
• Provide guidance on regulations, requirements, and Bank procedures.
• Updating employee training as needed
• Annual registration renewals.
• Maintain SAFE Act procedures.
• Answer and resolve basic or less complex colleague calls made through the HR HelpLine on a wide variety of HR related topics utilizing various tools such as a database of FAQs, process and workflow documentation, and policy manuals. Escalate questions/issues generated from incoming phone calls to appropriate staff as needed.
• Create and maintain a database of FAQs for all areas of HR including those which pertain to certain key HR activities such as benefits open enrollment, quarterly and annual incentive payments, etc.
• Provide reports on the types of questions asked by colleagues for analysis of trends and identification of possible colleague communication/learning opportunities.
• Other assignments and projects as assigned.

WHAT DO YOU NEED TO SUCCEED

Must-Have*

• Associate's Degree
• Minimum 1 year compliance or risk experience
• Minimum 1 years in mortgage banking, consumer finance, retail banking compliance or legal department
• Good understanding of HR operations, policies and processes as well as applicable employment law

Skills and Knowledge

• Knowledge of state and federal employment laws, regulations and industry trends and best practices related to Human Resources.
• Ability to identify compliance risks related to HR functional areas and competently and clearly advise on applicable practices and processes.
• Research, data analytics, problem solving, decision-making, communication skills.
• Must possess good working compliance knowledge of compliance regulations for lending and other banking regulations and relevant work experience with regulations that includes the ability to understand regulations and apply them to business practices and the bank's products.
• College degree preferred.
• In depth understanding of the SAFE Act or FINRA registration rules is a plus.
• Ability to influence/motivate others to produce desired results.
• Ability to operate effectively in a fast paced environment.
• Excellent organizational and analytical skills.
• Ability to communicate clearly and professionally with all levels of an organization.
• Excellent written and verbal communications skills.
• Effective interpersonal skills.
• Proficiency in multi-tasking and prioritizing projects.
• Excellent time management skills and be accustomed to working with deadlines.

*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.
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
We start with a basic premise: Business is personal. Since day one we've always gone further than the competition to help our clients, colleagues and community flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues to drive phenomenal growth today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies.

City National Bank requires all colleagues to be fully vaccinated against COVID-19 to work on-site at any of our locations.