- Citigroup (Loma Linda, CA)
- …referral leads + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures. + Ensure that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...able to work without direction. + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR… more
- JPMorgan Chase (Irvine, CA)
- …deliver bespoke solutions and exceptional client service. + The Securities Industry Essential (SIE) exam, FINRA Series 7, and FINRA Series 66 (or 63 and 65) are ... position. Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements. In… more
- BMO Financial Group (Santa Monica, CA)
- …+ Ensures alignment between stakeholders. + Follows through on the risk and compliance processes and policies to ensure we safeguard our customers' assets, maintain ... study or an equivalent combination of education and experience. + FINRA Series 6, 63 & 65 Licenses OR FINRA Series 7 & 66 licenses. + Life and Health Insurance… more
- US Bank (West Hollywood, CA)
- …lead and manage branch(es) to ensure that goals are met and to ensure compliance with all banking laws and regulations. This role will regularly coach, develop, ... volunteer time and engage with the community. 11. Ensures compliance with all banking laws and regulations and requires...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- US Bank (Los Angeles, CA)
- …credit-related assistance to Relationship Managers, Portfolio Managers, product partners, and compliance teams to support ICG Banking activities. This role requires ... to ensure revenue-generating activities are executed effectively while maintaining strict compliance with regulatory and policy requirements. This banker also serves… more
- US Bank (Gardena, CA)
- …lead and manage branch(es) to ensure that goals are met and to ensure compliance with all banking laws and regulations. This role will regularly coach, develop, ... volunteer time and engage with the community. 11. Ensures compliance with all banking laws and regulations and requires...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- MUFG (Los Angeles, CA)
- …to various related parties throughout the bank. + Oversee covenants compliance , facility due date, condition/instruction/report required, and call memos. + Perform ... credit related information and analysis pertinent to making a decision. Policy Compliance + Ensure compliance with external regulatory requirements (JFSA, BOJ,… more
- US Bank (Los Angeles, CA)
- …activities, including covenant tracking/monitoring, loan onboarding, loan documentation, compliance reporting, annual reviews, and exception monitoring. + Apply ... monitoring of assigned credit portfolios, including past dues, payments, covenant compliance , and collateral reporting. + Partner with Relationship Managers and… more
- SMBC (Los Angeles, CA)
- …future profitability. The position also requires maintaining credit files to meet compliance standards, preparing for internal and agency audits, and assisting the ... creditworthiness. + Monitor financial and reporting covenants to ensure ongoing compliance and flag potential issues for credit administration review. + Support… more
- US Bank (San Francisco, CA)
- …with Senior to Executive Leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, RCA Managers and other Senior RCA Managers to, ... management framework. Accountable for projects and/or activities that ensure compliance with applicable federal, state, and local laws and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more