- Banc of California (Santa Ana, CA)
- …adhere to, remaining current with regard to industry best practices and regulatory requirements and expectations. Performs all duties in accordance with the ... + Develop an enterprise information security framework and program consistent with regulatory and industry best practices (ie, FFIEC, NIST, etc.) Ensure data… more
- Banc of California (Santa Ana, CA)
- …due diligence items and legal documents required to ensure accurate closings and compliance with bank and regulatory requirements and procedures. + Identify any ... reviewing evidence of insurance to confirm coverage is in compliance with bank and regulatory requirements. May...send adverse action letter if applicable. + Maintains a professional and courteous attitude and demonstrate a true concern… more
- Grant Thornton (San Jose, CA)
- …prototyping, and launch of innovative, AI-enabled solutions that enhance our professional advisory services globally. The Head of Global Product - Advisory ... Advisory leaders, Technology leaders, and key corporate stakeholders (Risk, Legal, Compliance , Finance, HR, Operations) to ensure product initiatives meet enterprise… more
- City National Bank (Los Angeles, CA)
- …audit methodology and taking into consideration industry development, emerging risks, and regulatory changes and expectations. WHAT WILL YOU DO? * Audit and ... with other audit groups to effectively plan, integrate and execute audits.Understands fraud, BSA/ AML and general IT risks in order to identify and assess key control… more
- Citigroup (Sunnyvale, CA)
- …referral leads + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures. + Ensure that KYC/ AML and other compliance ... Wealth Relationship Mgmt. (Branch) Sr. Analyst SAFE Act is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of… more
- City National Bank (Los Angeles, CA)
- …resources as necessary to ensure timely work completion. Assesses processes for regulatory or reputational risk and compliance . Facilitates the training and ... acts as a liaison between department associates and Legal, AML , and Compliance departments. * Identifies and...high level of customer service in a calm and professional manner. * Partner with other functional areas to… more
- Banc of California (San Luis Obispo, CA)
- …+ New Accounts back-up. + Adhere to bank policies, operational controls, and regulatory procedures to ensure the safety and security of client and bank assetsAssist ... related experience should consist of an in-depth background in Bank Secrecy Act compliance and general banking skills. Bachelor's degree preferred. + 3+ years of… more