- BMO Financial Group (Santa Monica, CA)
- …privacy, and act in their best interest. + Keeps current with the wider financial services marketplace, the legal and regulatory environment, and our commitment ... and prospects. Identifies customer needs and provides advice and guidance regarding financial solutions that are in the best interests of customers. Works… more
- Wells Fargo (Pasadena, CA)
- …work experience, training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- Wells Fargo (San Jose, CA)
- …work experience, training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- 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 ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… more
- 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 ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… more
- Lincoln Financial (Sacramento, CA)
- … regulatory perspectives, while also providing exposure to Lincoln Financial 's Information Technology, Data Analytics, and Professional Practices audit teams. A ... will lead and execute risk-based audits focusing on operational processes and regulatory compliance across the company. In this role, you will provide independent… more
- 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 ... and maintain on-going client relationships by introducing and cross selling other financial products and services. Must be able to communicate effectively and… more
- City National Bank (Los Angeles, CA)
- …gaps in control design or operating effectiveness * Review and challenge regulatory remediation activities in assigned coverage areas to ensure operational risk ... arising from risk assessments, risk monitoring, internal and external events, and regulatory exams * Exhibit high attention to details in identifying, aggregating,… more
- Wells Fargo (Seal Beach, CA)
- …education + 2+ years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 66 ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- Southern California Edison (Rosemead, CA)
- …corporate development and strategic initiatives while driving cross-functional alignment. + Regulatory Sr Attorney conducts all aspects of regulatory litigation, ... which includes leading legal strategy and preparing all pleadings. + Regulatory Sr Attorney leads SCE regarding regulatory and enforcement agencies, including… more