Christie M.
About Christie M.
Christie M. is a Compliance Analyst and Assistant Vice President at City National Bank, where she has worked since 2019. She holds a Bachelor's Degree in Political Science from UC Santa Barbara and is currently pursuing a Doctor of Law degree at Loyola Law School.
Work at City National Bank
Currently, Christie M. serves as a Compliance Analyst and Assistant Vice President at City National Bank, a position she has held since 2019. In this role, she conducts quarterly, semi-annual, and annual testing for the bank's affiliate Investment Advisers and Broker Dealers, ensuring compliance with SEC and FINRA regulations. Christie provides direct support to the Chief Compliance Officer of Wealth Management and the Chief Compliance Officer of the Registered Investment Adviser during regulatory examinations and internal audits.
Previous Experience in Compliance
Before joining City National Bank, Christie M. worked as a Compliance Consultant at Advanced Regulatory Compliance LLC from 2017 to 2019. In this capacity, she focused on compliance responsibilities, which included conducting marketing reviews and managing due diligence requests. Prior to that, she held the position of Redemption and Operations Specialist at PlanMember Financial Corporation from 2016 to 2017, where she was involved in client distributions.
Education and Expertise
Christie M. earned her Bachelor's Degree in Political Science and Government from UC Santa Barbara, where she studied from 2010 to 2014. She is currently pursuing a Doctor of Law (JD) degree at Loyola Law School in Los Angeles, a program she has been enrolled in since 2021. Her academic background in political science, combined with her legal studies, supports her expertise in compliance and regulatory matters.
Career Path and Roles
Christie M. has held various roles throughout her career, beginning as a Receptionist at AppFolio Inc. from 2014 to 2015. She then transitioned to a Sales and Operations Coordinator position at Tecfen Medical for five months in 2015. Her diverse work experience includes roles in operations and compliance, which have contributed to her current position in the financial services industry.