- Banc of California (Santa Ana, CA)
- …+ Maintains SOX documentation and findings in the Company's GRC (AuditBoard) and risk management (Archer) platforms. + Maintains the Company's issues ... WE WIN(R) **THE OPPORTUNITY** Responsible for performing the Bank's risk based, annual SOX Compliance Program plan...Director in planning and executing the Bank's annual SOX Compliance Program plan in collaboration with executive management… more
- Banc of California (Santa Ana, CA)
- …relationship-based business banks focused on providing banking and treasury management services to small, middle-market, and venture-backed businesses. Banc of ... analysis and follow-up and working cases from beginning to completion according to AML procedures and policies. Performs all duties in accordance with the company's… more
- SMBC (Sacramento, CA)
- …in accordance with department strategy. * Collaborate with cross-functional teams, including compliance , legal, risk management , and IT to integrate ... senior management . * Establish and maintain strong relationships with FCC management team, internal audit, and compliance monitoring and testing, fostering… more
- Banc of California (Santa Ana, CA)
- …relationship-based business banks focused on providing banking and treasury management services to small, middle-market, and venture-backed businesses. Banc of ... WE WIN(R) **THE OPPORTUNITY** The Sr. BSA Specialist will assist with BSA/ AML related activities which may include currency transaction reporting to comply with… more
- Banc of California (Santa Ana, CA)
- …with any ad-hoc projects that relate to EDD and other areas of BSA and AML compliance . + Accountable for strict adherence to all regulatory deadlines, internal ... + A minimum of 5 years' direct experience in BSA/ AML compliance and EDD, especially with experience...and other relevant regulations and strong understanding on the AML risk associated with the high- risk… more
- City National Bank (Los Angeles, CA)
- … program functions, including Compliance Risk Assessments, Key Risk Indicators (KRI) review, Issue Management , Operational Losses, and more. Provide ... Act as the business teams' liaison for business line risk management , compliance activities, legal...PowerPoint *Additional Qualifications* * Familiarity with regulatory requirements (eg AML /KYC in Trade, UPC600, Dodd-Frank, Reg W) * Prior… more
- Banc of California (San Diego, CA)
- …potential hires to support bank's recruitment efforts. + Maintains strong knowledge of risk and compliance - including BSA/ AML , information security/fraud, ... treasury products that will assist clients and the bank in managing risk . Completes all compliance certifications. + Demonstrate sales leadership,… more
- Banc of California (Santa Ana, CA)
- …A DIFFERENCE** + Promotes a risk -aware culture, ensures efficient and effective risk and compliance management practices by adhering to required ... into ownership and control to identify all ultimate beneficial owners for KYC risk management purposes. + Utilizes investigative techniques and tools to perform… more
- CBRE (Los Angeles, CA)
- …+ Oversee legal matters for CBRE DSF, including advising on corporate governance, compliance , employment, litigation, and risk management matters and ... with compliance specialists within the Company to establish, maintain and monitor compliance issues, with special attention to BSA, AML , KYC, and privacy… more
- Banc of California (Santa Ana, CA)
- …to obtain due diligence information needed to underwrite the credit request, perform risk rating reviews, and/or monitor covenant compliance and ticklers. * ... applicable. Conduct annual reviews of loans and identify any risk rating changes. Keeps apprised of industry related, political...calls with RM to assess client's needs, business, and management team. * Ensures compliance with all… more