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Job description
City National Bank is seeking a Manager Compliance Investment Adviser to oversee the Broker-Dealer compliance staff within Wealth Management. The role includes reviewing policies, staff training, licensing guidance, supervision, and handling regulatory inquiries in coordination with the CCO.
The ideal candidate has a bachelor's degree, 10+ years in financial services with broker/dealer compliance, and must hold a Series 7 with a plan to obtain Series 24 within six months.
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.