Brandon Rust

About Brandon Rust

Accomplished Risk and Compliance Professional with over 17 years of expertise in investment management, trading oversight, and regulatory methodology. Demonstrated success in leading fiduciary governance, mitigating enterprise risk, and ensuring full adherence to complex regulatory frameworks. Specializes in evaluating fiduciary governance practices to ensure alignment with legal, ethical, and organizational requirements. Recognized for exceptional leadership, driving time-sensitive, target-date initiatives to successful completion. Consistently exceeds performance objectives and delivers strategic results within dynamic, fast-evolving regulatory environments.

Experience

1. Vice President, Compliance Senior Manager - Conflicts of Interest Office

   City National Bank

   Aug 2024 — Present

   Established and led the firm’s first Enterprise Conflicts of Interest Office, developing its mission, structure, and operating model to oversee conflicts identification, assessment, disclosure, and mitigation across all business lines.•Designed and implemented enterprise-wide conflicts of interest policies and procedures, aligning with regulatory expectations and best practices.Built and led a multidisciplinary team responsible for conflicts monitoring, employee disclosures, personal trading surveillance, outside activity reviews, and conflicts governance.•Developed and executed a comprehensive conflicts governance and oversight framework, including reporting to senior management, the board, and regulators.•Created and deployed a firm-wide conflicts training program to enhance employee awareness and compliance with conflicts requirements.•Implemented scalable technology solutions to support conflicts intake, workflow management, and reporting, increasing efficiency and transparency across the conflicts management process.•Partnered with Legal, Compliance, Risk, and business stakeholders to identify emerging conflicts risks and develop effective controls to mitigate potential conflicts.•Enhanced the firm’s regulatory readiness by aligning conflicts management practices with SEC, FINRA, and OCC 12 CFR 9 regulatory expectations.

Education

• Northern Kentucky University

  Business Administration , Management, Marketing and Operations

  2001 — 2005

Skills

• Credit
• Financial Analysis
• Finance
• Relationship Management
• Process Improvement
• Retirement Planning
• Sales
• Microsoft Excel
• Project Management
• Wealth Management
• Customer Satisfaction
• Training
• Portfolio Management
• Leadership
• Investments
• Strategic Planning
• Sales Operations
• Customer Retention
• Retirement Savings
• Team Building
• Management
• Financial Services
• Crm
• Employee Training
• Qualified Retirement Plans
• Asset Management
• Banking
• Mutual Funds
• Risk Management