Ken Aiso, Cfa, Cisa
About Ken Aiso, Cfa, Cisa
Ken Aiso is a Vice President and Wealth Management and Capital Markets Audit Director at City National Bank, where he has worked since 2005. He has extensive experience in compliance and audit, having previously held positions at Banc of America Securities for 12 years.
Work at City National Bank
Ken Aiso has been serving as Vice President & Wealth Management and Capital Markets Audit Director at City National Bank since 2005. In this role, he focuses on enhancing compliance and audit processes within the bank's wealth management and capital markets divisions. Aiso emphasizes the importance of utilizing refined recognition skills to identify and address potential issues, rather than relying on traditional review frameworks. He has played a significant role in recommending proactive compliance changes during routine examinations, ensuring that the bank adheres to various regulatory requirements.
Previous Experience at Banc of America Securities
Before joining City National Bank, Ken Aiso worked at Banc of America Securities for 12 years, from 1993 to 2005. He held the position of Assistant Vice President-Surveillance, where he was responsible for recommending compliance program enhancements to Chief Compliance Officers and management. Aiso also served as Audit Manager from 1990 to 1993, contributing to the oversight of audit processes in the San Francisco Bay Area. His extensive experience in surveillance and audit management provided a strong foundation for his current role.
Education and Expertise
Ken Aiso studied at the University of California, Los Angeles, from 1984 to 1989, earning a degree that laid the groundwork for his career in finance and compliance. His educational background, combined with his professional certifications as a CFA (Chartered Financial Analyst) and CISA (Certified Information Systems Auditor), equips him with a robust understanding of financial markets, compliance standards, and risk management practices.
Contributions to Regulatory Compliance
Throughout his career, Ken Aiso has made significant contributions to regulatory compliance initiatives. At City National Bank, he assisted in developing compliant processes for the Dodd-Frank Act Volcker Rule, specifically for the Foreign Exchange and Interest Rate Risk Management businesses. His proactive approach to compliance has included recommending changes to review scopes during examinations, ensuring adherence to various acts and regulations.
Due Diligence in Acquisitions
Ken Aiso participated in the due diligence processes prior to the acquisition of three major investment advisory companies by City National Corporation. His involvement in these processes highlights his expertise in assessing compliance and operational risks associated with significant corporate transactions.