- MUFG (Los Angeles, CA)
- …will be extended to various clients, making sure the terms are in compliance with the bank policy guidelines. When necessary, prepare credit applications and obtain ... prepare periodic credit review reports and perform credit control duties. Policy Compliance (5%) + Ensure compliance with external regulatory requirements (JFSA,… more
- Bank of America (Los Angeles, CA)
- …clients to the broader enterprise + Managing the daily operations ensuring compliance to industry regulations, and policies and procedures **Key Qualifications for ... Responds to and resolves complaints, working with Litigation or Compliance personnel, regarding operations/services received from clients or regulators. Responsible… more
- City National Bank (Los Angeles, CA)
- …to AML and Financial Crimes, including those promulgated by FinCEN, the OCC, FINRA , and the SEC. Significant expertise in assigned area of focus is essential ... legal advice to all three lines of defense (front line, Risk/ Compliance , Audit), broker-dealer businesses, and other US-based businesses regarding all aspects… more
- Bank of America (Newport Beach, CA)
- …Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management ... managing and mitigating risk. **What you'll accomplish:** + Manage delegated compliance , administrative and business functions related to the Merrill Wealth… more
- JPMorgan Chase (Salinas, CA)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses… more
- MUFG (Los Angeles, CA)
- …validation activities (may occur outside of business hours). + Actively ensures compliance with the Bank's Business Standards of Conduct and all Patriot Act, ... and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all requisite corporate and… more
- US Bank (Sacramento, CA)
- …design, origination and servicing of Business Banking loans; ensure borrowers remain in compliance with terms of existing loans to manage credit quality, risk, and ... compliance . Responsible for overall business line credit quality metrics....positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- JPMorgan Chase (San Diego County, CA)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- Nuveen Investments (San Francisco, CA)
- …such events. + Liaising with internal partners: Partnering with technology, compliance , legal, operations, portfolio management, trading, and other internal partners ... internal sales teams on the asset class. + Ensuring compliance with regulations: Collaborating with Compliance to...**Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7; Series 63… more
- MUFG (Los Angeles, CA)
- …roadmap to ensure measurable growth and development are achieved. + Actively ensures compliance with the Bank's Business Standards of Conduct and all Patriot Act, ... and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all requisite corporate and… more