Rochelle Levy
About Rochelle Levy
Rochelle Levy serves as the Chief Compliance Officer at City National Bank, a position she has held since 2022. With a diverse background in compliance and legal roles across various financial institutions, she possesses extensive knowledge of regulatory frameworks and compliance solutions.
Work at City National Bank
Rochelle Levy serves as the Chief Compliance Officer at City National Bank, a position she has held since 2022. In this role, she oversees compliance programs and ensures adherence to regulatory requirements. Her responsibilities include developing compliance policies, conducting risk assessments, and implementing compliance training for staff. Levy's leadership in compliance is critical to maintaining the bank's integrity and reputation in the financial services industry.
Previous Experience at JPMorgan Chase & Co.
Prior to her current role, Rochelle Levy worked at JPMorgan Chase & Co. in various capacities. From 2018 to 2019, she was an Audit Manager in Asset Management Compliance. Earlier, from 2014 to 2017, she served as Vice President in Fund Services Risk Operations Controls Management. Additionally, she held the position of Vice President - Product Manager for a brief period in 2017. Her tenure at JPMorgan Chase provided her with extensive experience in compliance and risk management.
Experience at BNY Mellon
Rochelle Levy held multiple roles at BNY Mellon. She was the Chief Compliance Officer from 2019 to 2021, where she was responsible for overseeing compliance functions. Before that, she served as the Head of Distribution Compliance in Investment Management from 2021 to 2022. Her work at BNY Mellon contributed to her expertise in compliance within the investment management sector.
Education and Expertise
Rochelle Levy earned her Juris Doctor from New England Law | Boston, completing her studies from 2007 to 2010. She also holds a Certificate in Forensic Accounting from the University of North Carolina at Charlotte, obtained in 2010. Additionally, she received a Bachelor of Arts in Political Science and Religion from the University of Florida, with a minor in African Studies. Levy possesses extensive knowledge of the Investment Advisers Act, the Investment Company Act of 1940, and FINRA rules.
Background and Certifications
Rochelle Levy has a diverse professional background that includes legal and compliance roles across various financial institutions. She has worked as an Associate Attorney at Denner Pellegrino, LLP and held compliance positions at State Street. Levy is registered as a Chief Compliance Officer in Canada and holds the positions of Anti-Money Laundering Compliance Officer (AMLCO) and Money Laundering Reporting Officer (MLRO) in the Cayman Islands.