- Columbia Bank (San Diego, CA)
- …service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker /dealer regulations for assigned job function as applied ... or exceed assigned production goals. + Maintain effective relationships with all Bank personnel in assigned branches by holding meetings and trainings, answering… more
- Sumitomo Pharma (Sacramento, CA)
- …Insurance. The Director will manage global cash operational activities & forecasting. Manage bank and broker relationships. This role is responsible for a team ... trials, management liability, umbrella, and specialty lines. + Manage Banker & Broker relationships. + Oversee & manage cash pooling across SMPA group entities… more
- City National Bank (Los Angeles, CA)
- …WHAT WILL YOU DO? * Provide transactional and regulatory counsel to the Bank and its registered investment adviser, broker -dealer, and registered investment fund ... Senior Counsel will provide general regulatory and transactional support to the Bank and its wealth management operations and subsidiaries. Substantial expertise in… more
- City National Bank (Los Angeles, CA)
- …Senior Counsel- AML/Financial Crimes will provide legal advice to City National Bank , a national banking association and its subsidiaries, affiliates and related ... substantial experience advising regulated financial institutions (including national banks and broker -dealers) on laws and regulations relating to AML and Financial… more
- City National Bank (Los Angeles, CA)
- …team of auditors to assess risks and internal control environment of the bank 's Wealth Management businesses. This individual will develop and execute detailed audit ... to evaluate the adequacy of the operational processes to meet bank policies and procedures and regulatory requirements, identify data analytic opportunities,… more
- City National Bank (Los Angeles, CA)
- …programs required for the day-to-day administration of client accounts. * Interact with bank and CNS personnel as needed and keep Financial Advisors apprised of ... Advisor Product * Maintain a proactive commitment to established Bank programs, such as Customer First, Community Reinvestment Act...years of Customer Service or Operational experience at a Broker Dealer * 5 or more years of management… more
- City National Bank (Los Angeles, CA)
- …and/or written reports and memorandums. The position will support City National Bank 's Internal Audit in providing independent, objective assurance over the design ... and operating effectiveness of the Bank 's risk management practices, governance processes, system of internal controls for the Wealth Management platform: Personal… more
- City National Bank (Los Angeles, CA)
- …reporting through RBC channels, and track implementation of remedial response(s) by the Bank . * Assist in scheduling and attend meetings for examiners with senior ... stakeholders and regulators, as well as effectively building relationships within the Bank . * Exceptional writing skills, with ability to synthesize complex concepts… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …years of experience in client service or operations within financial services (RIA, broker -dealer, custodian, or bank ) + Strong communication skills and a ... client-first mindset + High attention to detail and ability to manage multiple priorities across systems and custodians + Proficiency in Microsoft Office; experience with CRM or portfolio reporting software is preferred + Bachelor's degree preferred but not… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …in a client service or operations role within a financial services firm (RIA, broker -dealer, custodian, or bank ) + Strong communication and follow-through with a ... client-first mindset + High attention to detail and comfort working across systems and custodians + Proficiency in Microsoft Office; experience with CRM or portfolio reporting software is a plus + Eagerness to learn, take initiative, and grow within a… more