- City National Bank (Los Angeles, CA)
- …and its subsidiaries, affiliates and related companies to minimize legal and regulatory risk associated with money laundering, economic sanctions, and other ... AML laws, including the Bank Secrecy Act, and other financial crimes. * Advise on high- risk client...information and documents with discretion. * Experience working in financial services industry preferred. * Flexibility and… more
- Comerica (San Jose, CA)
- …in accordance with the SAFE Act. Comerica Incorporated (NYSE: CMA) is a financial services company headquartered in Dallas, Texas, and strategically aligned into ... maker in the delivery of the business unit's reporting services . Position Responsibilities: + Consults with stakeholders to develop...and Trade data for a variety of purposes including financial , regulatory and managerial reporting. + Serve… more
- Providence (CA)
- …complex, high- risk regulatory matters that impact reputational risk . **Operational Leader:** + Oversee Patient Financial Counseling functions, including ... (AVP) of Financial Counseling, you will have focused accountability on regulatory compliance across the system. You will assume a pivotal role encompassing legal… more
- SMBC (Los Angeles, CA)
- …experience in areas related to Business and Risk Audit with a financial institution, regulatory agency, and/or consulting firm. CIA, CFE, CISA, CISSP is ... California middle-market businesses, manufacturers, wholesalers, distributors, importers, exporters, and service companies, including small businesses and professionals. The anticipated… more
- Raymond James Financial, Inc. (Beverly Hills, CA)
- …13 months to 3 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - ... required production. * Provides a high level of client service . * Manages the full scope of a client...Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), Series 7_GS… more
- Travelers Insurance Company (Glendale, CA)
- …underwriter, you will have a dynamic role that blends evaluating and analyzing financial and business risk , building relationships, and selling and negotiating ... national team to build client, agent, and broker relationships, evaluate and price risk through financial and contractual underwriting, and offer surety product… more
- Bank of America (Montrose, CA)
- …and services . + Has at least one year experience working in the financial service industry and/or a sales environment where goals were met or exceeded. ... client needs and asset thresholds + Mitigates and controls risk as part of daily activities + Identifies and...+ At least three years' experience working in the financial service industry and/or a sales environment… more
- Bank of America (Roseville, CA)
- …and services . + Has at least one year experience working in the financial service industry and/or a sales environment where goals were met or exceeded. ... client needs and asset thresholds + Mitigates and controls risk as part of daily activities + Identifies and...+ At least three years' experience working in the financial service industry and/or a sales environment… more
- Bank of America (San Francisco, CA)
- …and services . + Has at least one year experience working in the financial service industry and/or a sales environment where goals were met or exceeded. ... client needs and asset thresholds + Mitigates and controls risk as part of daily activities + Identifies and...+ At least three years' experience working in the financial service industry and/or a sales environment… more
- Meta (San Francisco, CA)
- …Financial Intelligence Unit Head Responsibilities: 1. Apply sanctions regulatory knowledge and investigative acumen to overseeing sanctions related investigations ... across Meta's products, services and business operations, ensuring compliance with applicable policies,...business operations, ensuring compliance with applicable policies, procedures, and regulatory requirements. 2. Manage and supervise a team of… more