- Aristotle Capital Management (Los Angeles, CA)
- …and governance practices, ensuring compliance with regulatory requirements (eg, FINRA , SEC , GDPR, CAN-SPAM). + Oversee data hygiene, enrichment, and ... client journeys across all audiences. + Collaborate with sales, product, and compliance teams to build campaign frameworks that align with regulatory requirements… more
- Guardian Life (Sacramento, CA)
- …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations… more
- Navy Federal Credit Union (San Diego, CA)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate ... an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures....documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies.… more
- City National Bank (Los Angeles, CA)
- …advise on a broad range of matters under the banking and securities laws, including the SEC , FINRA , OCC, FRB, and FDIC, help resolve issues as they arise, and to ... legislation, new product development, and documentation and in dealings with the OCC, SEC , FINRA and other US regulatory authorities. * Conduct research and… more
- City National Bank (Los Angeles, CA)
- …of Client Service or Operational experience at a Broker Dealer. * Knowledge of SEC and FINRA rules and regulations. * Knowledge of National Financial Systems ... and coding updates when policy and procedures change. Prepare all required SEC 17AC3-4(books and records) documents, letters, and correspondence needed for Program… more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker-Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established ... is seeking a Associate General Counsel - Broker-Dealer Regulatory Compliance to join its growing corporate legal department. This...JD from accredited law school + Extensive knowledge of SEC , FINRA , and state securities regulations +… more
- City National Bank (Los Angeles, CA)
- …objectives, risk tolerance, time horizon, financial status, and other investment needs in compliance with FINRA regulations and CNS policies and procedures. * ... and approves CNS written and electronic correspondence for accuracy and compliance . Overseas the risk associated with the operational and administrative aspects… more
- Atria Wealth Solutions (Dublin, CA)
- …learn more about CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a registered broker-dealer and SEC Registered Investment Advisor ... + Oversee the completion of all required Credit Union compliance training and those mandated by the broker-dealer. +...training content for branch teams and vet content with Compliance and our broker-dealer partner, and ensure monthly training… more
- City National Bank (Los Angeles, CA)
- …relating to AML and Financial Crimes, including those promulgated by FinCEN, the OCC, FINRA , and the SEC . Significant expertise in assigned area of focus is ... legal advice to all three lines of defense (front line, Risk/ Compliance , Audit), broker-dealer businesses, and other US-based businesses regarding all aspects… more