- Wells Fargo (San Francisco, CA)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following ... aggregation, open banking, and screen scraping, including laws related to electronic financial services ; drafting terms of use and online customer agreements;… more
- Wells Fargo (San Jose, CA)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following ... in-depth evaluation + Advise customers on various aspects of recommended and available financial options and services + Maintain deep knowledge and understanding… more
- BMO Financial Group (CA)
- …Boldly Grow the Good in Business and Life.** Our Small Business Commercial Service Representative develops a high profile for BMO within an assigned territory to ... opportunities in compliance with internal controls and adherence to audit, regulatory , and compliance policies. Develops, implements, reviews, and revises short-term… more
- Securitas Security Services USA, Inc. (Sunnyvale, CA)
- …consistency in global service delivery while remaining adaptable to local regulatory , cultural, and operational variances **Operational & Risk Management** + ... services , technology deployments, and contract compliance + Analyze financial reports and operational metrics to improve profitability, performance, and cost… more
- City National Bank (Los Angeles, CA)
- …internal audit, quality control roles, or other complimentary capacities, preferably within the financial services industry, a public accounting firm, or with a ... institutions regulator * Minimum 3 years of experience in the financial services industry *Additional Qualifications* * Preferred Certifications: CPA -… more
- Wells Fargo (Woodland Hills, CA)
- …and coach on operational risk **Required Qualifications:** + 4+ years of Financial Services Industry experience, or equivalent demonstrated through one or a ... Serve as the initial point of contact for operational, service and technology inquiries from Financial Advisors,...of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes… more
- City National Bank (Los Angeles, CA)
- …Knowledge* Consistently keeps informed of new services , products, industry and regulatory developments and risk events that have a significant technology and ... operational processes to meet bank policies and procedures and regulatory requirements, identify data analytic opportunities, analyze results of...in an internal audit role within the banking or financial services industry, or with an public… more
- Wells Fargo (Sacramento, CA)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following ... education **Desired Qualifications:** + Brokerage client support experience or financial services industry experience + Administrative support experience… more
- Synchrony (Costa Mesa, CA)
- …as the primary contact for and provide Tech&Ops senior leadership team regular updates on Regulatory and Audit topics, risk trends, and themes + Leading a team ... strategic thinking, understanding of governance framework and familiarity with regulatory expectations, as well as strong communication skills, including executive… more
- Wells Fargo (San Francisco, CA)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following ... or CFA **Job Expectations:** + US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for… more