- HUB International (Encino, CA)
- …Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a ... and enhancing the SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth** will be responsible… more
- PNC (Cupertino, CA)
- …opportunity to contribute to the company's success. As a(n) Supervising Mortgage Loan Officer within PNC's Mortgage organization, you will be based in Greater SF Bay ... Manages daily loan activities of a small, high performing Mortgage Loan Officer team. + Manages a portfolio of customer relationships. Seeks prospective… more
- PNC (Irvine, CA)
- …have an opportunity to contribute to the company's success. As a(n) Mortgage Loan Officer within PNC's Mortgage organization, you will be based in the greater Orange ... solutions and refers products and services; reviews documentation to ensure compliance . Manages customer pipeline for efficiency. + Collaborates with internal and… more
- Citigroup (Palo Alto, CA)
- The Relationship Officer is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...deadlines + Excellent verbal and written communication skills + FINRA Series 7/66 or (7 & 63/65) **Education:** +… more
- MUFG (Los Angeles, CA)
- …possible, concerning business management and financial matters. + Serve as first contact officer for clients for matters relating to all banking services and advise ... will be extended to various clients, making sure the terms are in compliance with the bank policy guidelines. When necessary, prepare credit applications and obtain… more