- Cherry Bekaert (Sacramento, CA)
- …advisory /) practice, we have an excellent opportunity for a **Senior Associate ( Regulatory Compliance )** to join our team providing internal audit, ... Place to Work (https://www.cbh.com/about/awards-and-recognition/) , **Cherry Bekaert** delivers innovative advisory , assurance and tax services to our clients. At...regulatory compliance and risk management services to banks and financial… more
- City National Bank (San Francisco, CA)
- … Bank Operational and Credit policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client, Community Reinvestment ... *RELATIONSHIP MANAGER SENIOR SPORTS FINANCE & ADVISORY * WHAT IS THE OPPORTUNITY? The Senior Relationship...syndications for large credit relationships in conjunction with the Bank 's syndications team. * Calls on existing or prospective… more
- City National Bank (Los Angeles, CA)
- …Maintaining regulatory change management, policies and procedures, training, and advisory matters for mortgage lending compliance . This role is responsible ... and quality of records. * Comply fully with all Bank Compliance policies and procedures as well...Compliance policies and procedures as well as all regulatory requirements (eg Truth in Lending Act, Community Reinvestment… more
- TD Bank (San Francisco, CA)
- …in the Toronto, Singapore and London Control Room. + Work closely with Compliance Advisory and Legal as needed. **Job Requirements and Qualifications:** + ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...+ Review and escalate conflict checks for the Investment Bank . + Participate in regulatory exams and… more
- City National Bank (Los Angeles, CA)
- …prospectuses, presentations, training materials, and account opening documentation to ensure regulatory compliance . * Experience advising on Employee Retirement ... WHAT IS THE OPPORTUNITY? Senior Counsel will provide general regulatory and transactional support to the Bank ...policies and procedures. * Assist with special projects, including compliance and regulatory law matters. * Handle… more
- Bank of America (Newport Beach, CA)
- …involved + Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize risk + ... life they envision through a personal relationship with their advisory team committed to their needs. We believe trust...Advisor (FA) business needs, while ensuring adherence to the bank 's compliance policies and procedures + Coaches… more
- US Bank (West Hollywood, CA)
- …the terms of the SAFE Act of 2008 and Regulation Z and ongoing compliance with all legal or regulatory registration requirements, including, but not limited ... a satisfactory criminal and credit record. 13. Actively ensures compliance with the US Bank Code of...Skills/Experience** - Thorough product/service knowledge and thorough knowledge of regulatory , policy and compliance issues - Solid… more
- Bank of America (San Francisco, CA)
- …clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. ... Our trusted advisory teams are equipped with access to the investment...insights of Merrill coupled with the banking convenience of Bank of America. Merrill is committed to an in-office… more
- Bank of America (Walnut Creek, CA)
- …clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. ... Our trusted advisory teams are equipped with access to the investment...insights of Merrill coupled with the banking convenience of Bank of America. Merrill is committed to an in-office… more
- City National Bank (Los Angeles, CA)
- …audit programs to evaluate the adequacy of the operational processes to meet bank policies and procedures and regulatory requirements, identify data analytic ... changing environment with minimal supervision. * Complies fully with all Bank policies, procedures, audit methodologies, training and regulatory requirements.… more