Compliance Officer Job Listing at City National Bank in Los Angeles, CA (Job ID 92933)

Description

If you are hired to this position, you will be employed by Magnit Global. You will not be employed by City National Bank.

The Opportunity

The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications. The Compliance Officer will serve as the primary day to day contact for the business regarding marketing materials and communications. The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division.

The Responsibilities

• Review marketing material for consistency with applicable US and International regulatory standards
• Analyze marketing material for compliance with regulatory standards including, SEC, FINRA and MSRB
• Provide consultation to internal business partners for standards of marketing review and provide guidance to align alternative product marketing materials to corporate and regulatory standards
• Train marketing staff on rules and regulations relating to marketing materials for alternative products
• Serve as a resource to internal partners with inquiries regarding business communications

The Qualifications

• Minimum 5 years of relevant work experience with a financial institution such as a broker/dealer.
• Minimum 3 years compliance experience with a broker/dealer.
• Bachelor's degree from a four-year college or university is preferred.  Equivalent combination of education and significant relevant work experience may be considered.
• Strong abilities in analytical thinking, problem solving, research, and time management
• Must have excellent verbal communication and people skills

This is the pay range that Magnit reasonably expects to pay for this position: $53.28/hour - $57.12/hour

Benefits: Medical, Dental, Vision, 401K