- Intuit (San Diego, CA)
- …FDCPA, UDAP, GLBA/Privacy, OFAC and 3rd party vendor management. + Experience providing compliance advisory to business teams. + Ability to work independently - ... conform to Intuit policy and practices, and meet the regulatory requirements imposed upon us through our bank...delight. **How you will lead** + Assist in providing compliance advisory services for newly created commercial… more
- BMO Financial Group (San Francisco, CA)
- …Management + Change Management Expert level of proficiency: + Product Knowledge + Regulatory Compliance + Structuring Deals + Portfolio Management + Credit Risk ... BMO is the 8th largest bank in North America and the 4th largest...returns on a proactive basis. + Ensures adherence to regulatory requirements, internal controls, and compliance policies… more
- Banc of California (Santa Ana, CA)
- …CALIFORNIA AND YOUR CAREER** Banc of California, Inc. (NYSE: BANC) is a bank holding company headquartered in Los Angeles with one wholly-owned banking subsidiary, ... Banc of California (the " bank "). Banc of California is one of the nation's...be part of the Information Security Governance, Risk, & Compliance (GRC) team at Banc of California. The Information… more
- Wells Fargo (Pasadena, CA)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... **Banking, Lending, & Trust (BL&T)** unlocks access to Wells Fargo Bank products and services to high-net-worth and ultra-high-net-worth individuals and families… more
- CIBC (San Francisco, CA)
- …on client success. + Risk aware: Maintain a thorough understanding of operational, regulatory , and compliance requirements. **What you need to succeed** + A ... We're building a relationship-oriented bank for the modern world. We need talented,...service culture by leveraging expertise in investment and wealth advisory services to provide best-in-class relationship management. + Engage… more
- Citigroup (San Francisco, CA)
- …through converting referral leads + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure strict adherence to KYC/AML ... supports ultra-high-net-worth individuals and family offices through Citi Private Bank , operates in the affluent and high-net worth segments...and other compliance norms + Partner with all roles on branch… more
- Citigroup (Downey, CA)
- …through converting referral leads . Manage client follow-up and adhere to all Regulatory and Compliance operating procedures . Ensure strict adherence to KYC/AML ... supports ultra-high-net-worth individuals and family offices through Citi Private Bank , operates in the affluent and high-net worth segments...and other compliance norms . Partner with all roles on branch… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …of the Company's financial management (financial control and reporting, tax compliance , budgeting, etc.) for five affiliated corporate entities. Participates as a ... Principal) pursuant to FINRA requirements (responsible for maintaining required regulatory net capital; monthly, quarterly and annual filings; administrator of… more
- Navy Federal Credit Union (San Diego, CA)
- …offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain, ... comply with Navy Federal standards and FINRA, NASAA, SEC and other regulatory agencies. + Prepare standard/special reports required by FINRA, NASAA and SEC,… more
- Wheeler Accountants LLP (San Jose, CA)
- …that support the overall management of the business, operational efficiencies, regulatory compliance , financial reporting, vendor integration, and general ... What you will do: . Prepare monthly journal entries and support schedules, bank reconciliations, including areas such as accruals, A/R, A/P, payroll journal entries,… more