- Wells Fargo (Newbury Park, CA)
- …care and build relationships + Provide appropriate options for bank products and services to customer + Refer customers' financial needs to other bankers ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- Wells Fargo (Ontario, CA)
- …talent. It all begins with you. WFCA provides a comprehensive suite of products and services to serve the diverse financial needs of local and national auto ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- ADP (Irvine, CA)
- …points for these:** _Preferred Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) Series 6 and 63 ... ADP is hiring a **Sales Representative for Retirement Services ** . + **_Are you ready to control...** . + **_Are you ready to control your financial future with unlimited upside earnings potential?_** + **_Are… more
- US Bank (Los Angeles, CA)
- …address changing workforce needs. - Considerable knowledge of applicable laws, regulations, financial services and regulatory trends impacting assigned ... and businesses we serve to make better and smarter financial decisions and enabling the communities we support to...Review and update procedures to ensure they comply with Regulatory requirements. - Assist or work on special projects… more
- Grant Thornton (San Francisco, CA)
- …them better understand their businesses. Continually inform clients about accounting, financial and regulatory developments that may affect their businesses. ... from start to finish, which includes planning, executing, directing, and completing financial audits and managing to budget. + Supervise, train, and mentor… more
- Grant Thornton (Newport Beach, CA)
- …clients about engagement expectations, as well as informing them about accounting, financial and regulatory developments that may affect their organization + ... and risks, and apply that knowledge to enhance the financial statement audit - all with the resources, environment...tools as part of audits or in the professional services environment + Can travel as needed (Travel expectation:… more
- Sharp HealthCare (San Diego, CA)
- …position requires the ability to combine clinical/quality considerations with regulatory / financial /utilization review demands to assure patients are receiving ... sets.The RN CM I has accountability for maintaining compliance contractual and regulatory compliance with medical groups as applicable and the hospital.The RN CM… more
- MUFG (Los Angeles, CA)
- …+ 5+ years proven work experience in business development capacity (preferably in financial services industry on the buy-side) with a track record of ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- PNC (CA)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... fund performance, including yield maintenance through investors, both through financial modeling and oversight of transaction level performance. Performs working… more
- Wells Fargo (Northridge, CA)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively ... and produce high quality loans which are compliant and provide excellent customer service + Responsible for the offering of loans, negotiating of terms, and taking… more