Director Investment Solutions & Regulatory Affairs



Director – Investment Solutions and Regulatory Affairs will work directly with the City National Rochdale (‘CNR’) Chief Investment Officer (‘CIO’) coordinating various wealth management and investment solution activities across CNR, CNR Wealth Management and its parent companies, City National Bank (‘CNB’) and Royal Bank of Canada (‘RBC’) . This position will collaborate with CNR’s Investment Research and senior management to develop cross-functional expertise and provide ongoing analytical, communications, and leadership support.

Wealth Management Division: City National Rochdale
As a member of City National Rochdale, the company’s Wealth Management group, you will provide white-glove service focused on intelligently personalized portfolio management for high-net-worth individuals, families, and institutions. For 30 years, City National Rochdale has helped clients achieve their goals, operating as a nimble, responsive, local boutique investment firm.


  • Partner collaboratively with compliance team to create and implement a plan to migrate support 2nd line of defense has provided to the 1st line investment research team in support of the CNR business and mutual fund operations including Committee Governance, scheduling meetings, setting agendas, taking notes of meetings, track follow up items, scheduling meetings with external vendors and oversight of relevant reports in support of Proxy Voting, Best Execution, Liquidity and Risk Management and Pricing and Valuation committees.
  • Develop policies and procedures for criteria used to escalate problems that occur.
  • Create, implement and monitor a comprehensive risk appetite framework for investment solutions.
  • Lead the team’s development and implementation of new programs/strategies, implementation of regulation, rules, and risk management requirements.
  • Analyze and evaluate data that effects the technical, operational, and business functions and provide insight to the practical impacts/implications to the business line.
  • Work independently or with other team members in conducting research, analyzing and interpreting data and information to support strategies, initiatives, organizational planning and business model adjustments.
  • Act as the business liaison for responses and initiatives related to RBC, CNB and CNR Risk, Compliance, Legal, and internal and external audits.
  • Act as an intermediary between CNB Wealth Management Leadership / CNR CIO and others, reducing the level of interaction / participation on the CIO’s part.
  • Coordinate with RBC and CNB teams to implement OCC’s Heightened Standards related to enhanced risk management and monitoring of regulatory issues which can impact the investment solutions and related activities. review regulatory information from the Regulatory Issuance team.
  • Oversee creation of comprehensive policy and process documents for investment solutions CNR provides.
  • Build, maintain and operationalize document management systems supporting investment solutions and mutual fund related committees.
  • Monitory regulatory changes that would impact the investment solutions group.
  • Act as a liaison representing CNR CIO at both internal and external meetings; establishing and cultivating strong working relationships with all stakeholders.
  • Lead remediation and development on operational issues, escalating decisions with significant impact to the CIO after careful consideration and development of a proposal or potential plan. Work closely with the Business Affairs and Client Service & Operations Teams on initiatives and aid in evolving them such that they become business-as-usual, ultimately distributed to appropriate long-term owners.
  • Build and sustain effective relationships and alliances both internally and across all lines of business and staff areas to help deliver results and to ensure opportunities are identified, analyzed and managed appropriately across CNB Wealth Management. Understand interdependencies to achieve success.
  • Partner with team members to contribute concise communication materials for senior management. Develop presentations for internal and external meeting that are compelling, concise, and graphical to convey message.
  • Contribute to and potentially run special projects and initiatives, as necessary.



  • Bachelor’s Degree
  • Bachelor’s Degree
  • Minimum 7 years experience managing projects.
  • Minimum 7 years experience within or related to financial services.

Skills and Knowledge

  • MBA, JD, or other advanced degree, highly preferred.
  • Experience addressing complex regulatory requirements as it relates to investment solutions in large scale financial services organization.
  • Minimum 3 years experience in a leadership role.
  • Strong interpersonal and influencing skills – and ability to interact with colleagues at all levels in a peer-like way, and achieve goals without direct control over resources.
  • Defining and deconstructing problems.
  • Prioritizing issues and analysis.
  • Structuring and building quantitative and qualitative/conceptual analyses.
  • Knowledge in Financial Services, Project Management.
  • Demonstrated ability to Influence change, build relationships, communicate effectively, work under pressure, manage multiple priorities and deliver high caliber results.
  • Proficiency with MS Excel and PowerPoint.
  • Excellent time management, organizational, and prioritization skills and ability to balance multiple priorities.
  • An outstanding ability to analyze problems, apply quantitative analytical approaches, communicate effectively and confidently (both oral and written), work well in cross-functional teams.
  • Quick learning ability, outstanding analytical skills and a structured way of thinking your attention to details is exceptional.
  • Operate well under stress, even faced with tight timelines for ambitious deliverables.
  • Significant experience in driving operational change with front line to senior leadership personnel.
  • Excellent relationship and stakeholder management skills.
  • Be able to handle uncertainty well, and are able to simplify complexity.


Starting base salary: $140,389 – $260,715 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 Benefits and Perks.

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.


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.

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled

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