- Wells Fargo (Los Angeles, CA)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following ... or groups set forth in the procedures + Provide quality customer service while enforcing written procedures + Regularly receive direction from Corporate Security… more
- BMO Financial Group (San Dimas, CA)
- …act in their best interest. + Keeps current with the wider financial services marketplace, the legal and regulatory environment, and our commitment to uphold ... Delivers exceptional service to BMO customers and prospects. Identifies customer...Identifies customer needs and provides advice and guidance regarding financial solutions that are in the best interests of… more
- City National Bank (Sun Valley, CA)
- …a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic ... delivering all components related to new accounts, including account maintenance, service requests, and risk management. Responsible for appropriately profiling… more
- CIBC (San Francisco, CA)
- …success. + Risk aware: Maintain a thorough understanding of operational, regulatory , and compliance requirements. **What you need to succeed** + A proven track ... advisory services . + A collaborative approach to ensure seamless client service . + Strong financial acumen and relationship management skills to deliver… more
- PNC (Walnut Creek, CA)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... Ensures a strong client commitment and advocacy by delivering proactive and responsive service to meet client goals. Holds team accountable for deliverables. + Held… more
- JPMorgan Chase (Walnut Creek, CA)
- …conviction history, including pretrial diversions or program entries. Chase is a leading financial services firm, helping nearly half of America's households and ... you are customer focused, enjoy building relationships and providing financial advice to your clients, then a role as...of new accounts and full suite of products and services . Leverage service team to deliver an… more
- Lightsource bp (San Francisco, CA)
- …safely, efficiently, and in full compliance with all contractual and regulatory obligations. **Duties and Responsibilities** ** Financial Oversight** * Full ... You'll do** The Asset Manager plays a critical role in maximizing the financial and operational performance of a portfolio of utility-scale solar assets. This… more
- JPMorgan Chase (Redwood City, CA)
- …conviction history, including pretrial diversions or program entries. Chase is a leading financial services firm, helping nearly half of America's households and ... you are customer focused, enjoy building relationships and providing financial advice to your clients, a role as a...assigned branches and protect the firm by following sound risk management protocols and adhering to regulatory … more
- Bank of America (Los Angeles, CA)
- …Acts or Practices (UDAAP) related legal issues of primarily consumer related products, services , and regulatory matters that could impact the Retail, Preferred, ... legal issues and implications on consumer banking and wealth management products, services , and regulatory matters + Communicates clear, concise, actionable, and… more
- Guardian Life (Sacramento, CA)
- …on other department projects and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations ... our 29 million customers realize their dreams through a range of insurance and financial products and services . Our Purpose, to inspire well-being, guides our… more