- 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
- Zoom (Sacramento, CA)
- …not only customer-centric innovation but also adherence to regulatory standards (eg, FINRA , SEC , GDPR, data retention, archiving). You will maintain ... What you can expect As a Group Product Manager for Financial Services & Compliance , you will lead strategy and execution for Zoom's product offerings tailored to the… more
- TD Bank (San Francisco, CA)
- …Research against Investment Banking transactions. + A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards. + Understanding ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...this role. **Job Description:** We are seeking a VP Compliance professional to join our TD Securities US Control… 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
- 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
- US Bank (Glendora, CA)
- …of registration statements filed with the US Securities and Exchange Commission ( SEC ) and related filings. Registration statements (including a prospectus) are the ... Company Act of 1940 and Securities Act of 1933, and regulated by the SEC . Each Regulatory Administration Paralegal is a key point of direct interaction with GFS… 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
- 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 ... as the Company's FINOP (Financial and Operations Principal) pursuant to FINRA requirements (responsible for maintaining required regulatory net capital; monthly,… more
- US Bank (Irvine, CA)
- …Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA , SEC , MSRB, OCC, and internal supervisory policies and procedures. ... a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You...of experience in the financial services industry - Active FINRA Series 7, 24, 53, 63 and 65/66 licenses… more