- City National Bank (Los Angeles, CA)
- *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors by providing day to day client support and operational service on all CNS ... all new account documents, account transfers (acats), DTC delivery of securities , money movements including cash disbursements and deposits, wires, IRA… more
- Citigroup (Canyon Country, CA)
- The Mortgage Lending Officer role is a developing professional role. This role identifies policy and applies specialty knowledge in monitoring and assessing ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Citi Bank Retail Mortgage provides… more
- Insight Global (Los Angeles, CA)
- …Compliance /Operations Manager for an investment firm in Los Angelos, CA. As a Compliance Officer , you will be responsible for ensuring our firm's ... compliance with all applicable federal and state regulations, including...of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange… more
- Citigroup (San Francisco, CA)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... appropriate (including, but not limited to Small Business Partners, Home Lending Officer , etc.) + Acquire new clients through converting referral leads + Manage… more
- Citigroup (San Francisco, CA)
- …to clients based on client profiling and suitability assessments . Make securities recommendations and provide investment advice to clients through a select number ... appropriate (including, but not limited to Small Business Partners, Home Lending Officer , etc.) . Acquire new clients through converting referral leads . Manage… more
- CalSTRS (Sacramento, CA)
- …Management & Operations. Under the direction of the Chief Investment Officer (CIO), the Senior Investment Director (SID), Strategic Management & Operations, ... Experience providing oversight and management of investment performance, investment compliance /ethics programs, investment cost projects, or investment operations for… more
- CalSTRS (Sacramento, CA)
- …influencing policies, financial reporting standards for pension contributions in compliance with Generally Accepted Accounting Principles (GAAP), error and fraud ... impact of changes in accounting standards to Accounting Director, Chief Financial Officer , and Executive management Team, and advising on CalSTRS' position in… more
- CalSTRS (Sacramento, CA)
- …to Audit Services to perform audits in order to evaluate a school employer's compliance with the Teacher's Retirement Law. The mission of Audit Services is to ... of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700)… more
- CalSTRS (Sacramento, CA)
- …the following business areas in the Investment Branch: Operations, Performance, Compliance , Data Solutions, and Administration. The Administration Unit, within the ... of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700)… more
- CIBC (San Francisco, CA)
- …Canada). It's an asset if you've completed any of the following: Branch Compliance Officer 's Course (BCO), Branch Managers Examination Course (BME), Conducts & ... Practices Handbook (CPH) Wealth Management Essentials (WME); or Certified Financial Planner (CFP) + **Values matter to you** . You bring your real self to work and you live our values - trust, teamwork, and accountability. _Subject to plan and program terms… more