- Bank of America (Newport Beach, CA)
- …supporting business objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory , financial ... Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as...veteran or disability status or any factor prohibited by law , and as such affirms in policy and practice… more
- City National Bank (Los Angeles, CA)
- …the design and operating effectiveness of the Bank's risk management practices, Regulatory Compliance governance processes and the system of internal controls over ... support to meet the evolving demands of the US regulatory environment and heightened expectations of internal audit. The...in an internal audit role within the banking or financial services industry, or with an public accounting firm… more
- JPMorgan Chase (Lakewood, CA)
- …Maintain strong liaison and working relationships with federal, state and local law enforcement and regulatory agencies. + Gathering evidence, interviewing ... confidential information. Required qualifications, capabilities and skills + Experience in financial fraud investigations, related Law Enforcement or Retail… more
- City National Bank (Los Angeles, CA)
- …the operational processes to meet bank policies and procedures and regulatory requirements, identify data analytic opportunities, analyze results of testing ... audit methodology and based on industry/institutional knowledge, emerging risks, and regulatory changes and expectations. Key areas of focus and involvement include:… more
- Western Digital (San Jose, CA)
- …to the CEO, CFO, and other members of the leadership team to provide financial insights to support business strategy. They will oversee the accounting and ... financial reporting functions and ensure the accuracy and reliability... statements and SEC filings, and required reporting to regulatory agencies under federal, state, and local government regulations.… more
- Medtronic (Los Angeles, CA)
- … financial , industrial, public, and environmental impact. Collaborate with regulatory agencies to determine applicability and corrective action plans. + Review ... implement and enforce EHS procedures, programs and processes in alignment with regulatory and company requirements. Programs include, but are not limited to, the… more
- City National Bank (Palo Alto, CA)
- …& personal clients. They will act as a trusted strategic advisor, providing financial advice & consistently connecting client needs with CNB's products and service ... needs - draw insights from data to provide sound financial advice (strategies, products / solutions); conduct discovery activities...and Credit policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client,… more
- Wells Fargo (Los Angeles, CA)
- …work experience, training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- BMO Financial Group (Los Angeles, CA)
- …(1st LOD) programs (eg control testing, issues management, audit and regulatory exam management, data quality testing, etc.), including overseeing business ... risk management procedures applicable to the group. + Provides audit and regulatory exam oversight; assesses results and identifies control breakdowns and thematic… more
- City National Bank (Los Angeles, CA)
- …with product services, development, problem resolution, ongoing maintenance and regulatory compliance. Leads and/or participates in application and other operational ... functionality, and problem resolution. Ensures vendor systems meet all regulatory requirements. * Responsible for operational policy and procedure review,… more