- MUFG (Los Angeles, CA)
- …(b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association ... actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading ...a decision. Policy Compliance + Ensure compliance with external regulatory requirements (JFSA, BOJ, FRB, OCC and FDIC). +… more
- Bank of America (Newport Beach, CA)
- …supporting business objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory , financial ... Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Additionally, they… more
- PNC (Los Angeles, CA)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... of the risks identified. Researches current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials,… more
- Wells Fargo (Beverly Hills, CA)
- …recognized equivalents) **Job Expectations:** + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- Robert Half Finance & Accounting (San Francisco, CA)
- … information needs and develop reporting and training to ensure meaningful financial reporting. * Ensure compliance with regulatory and partnership requirements ... controls and accounting processes that produce accurate and meaningful financial information for internal and external decision-making. Maintain relationships with… more
- Stanford University (Stanford, CA)
- … requirements, and serves as a liaison to the university's central accounting, regulatory , tax and financial reporting offices. The team provides SAA management ... Accounting & Financial Analysis Manager **Alumni Association, Stanford, California, United...department is responsible for SAA's accounting, operating budget, and financial reporting functions. The group also assumes responsibility for… more
- Palo Alto Networks (Santa Clara, CA)
- …experience, passion, and have experience in using analytical tools, assessing strategic, financial , regulatory and technology risks, preferably in a technology ... account with over 1,000 eligible items selected by employees, our mental and financial health resources, and our personalized learning opportunities - just to name a… more
- Wells Fargo (Concord, CA)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively ... excellent customer service + Build relationships with realtors, builders, financial professionals, bank stores, past customers, and other non-traditional sources… more
- Wells Fargo (Los Angeles, CA)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- Wells Fargo (San Francisco, CA)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more