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 broker-dealer compliance issues with respect to monitoring public communications, marketing, licensing/registration, handling customer complaints, recordkeeping requirements, supervision, regulatory filings, etc. The Compliance Officer will serve as the primary day to day contact for the business regarding all broker-dealer related compliance matters. The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division. *The Responsibilities* * Assist the Wealth Management Broker/Dealer Entities’ CCO in conducting one or more of the following responsibilities. * Analyze marketing material for compliance with regulatory standards including, SEC, FINRA and MSRB. * Serve as a resource to internal partners with inquiries regarding business communications. * Monitor the existing Broker/Dealer compliance programs. * Monitor, review and challenge risks assessments and testing of compliance programs. * Analyze current Compliance functions and suggest enhancements and standardization, where appropriate. * Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements. * Perform all necessary functions and management reporting for FINRA Rules 3130. * Assist in the e-mail review/escalation process and lead internal investigations resulting from such reviews. * Train staff on regulatory updates and industry best practices. * Analyze marketing material for compliance with regulatory standards including, SEC, FINRA and MSRB. * Assist with regulatory exams, audits, production of responses to regulatory inquiries; and support of the transfer agent operations. *The Qualifications* * Strong abilities in analytical thinking, problem solving, research, and time management * Must have excellent verbal communication and people skills * FINRA Series 7 and/or Series 24 licenses are preferred. * Bachelor's degree from a four-year college or university is preferred.   This is the pay range that Magnit reasonably expects to pay for this position: $26.84/hour - $28.78/hour Benefits: Medical, Dental, Vision, 401K *QUALIFICATION/LICENSURE* *Work Authorization :* Green Card, US Citizen, Other valid work visa *Preferred years of experience :* 3 years *Travel required :* No travel required *Shift timings :*