- JPMorgan Chase (Long Beach, CA)
- …equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- City National Bank (Los Angeles, CA)
- …Markets, Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk)Thrives in a dynamic team-based environment, effectively manages ... all applicable risks (credit, liquidity, interest rate, price, operational compliance , strategic and reputation) and mitigating controls, designs comprehensive audit… more
- US Bank (Los Angeles, CA)
- …of the Legal Regulatory Group, the Law Division, Risk Management and Compliance , Audit, Finance, and Government Relations when providing legal subject matter ... legal support and guidance on enterprise-wide regulatory reporting and compliance projects. + Review and analyze regulatory issuances and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- MUFG (Los Angeles, CA)
- …and funding of discounting transactions. + Interact with RMs, credit, legal, compliance and other internal teams + Frequent interaction with middle and back ... office teams. + Ensure transactions adhere with the banks compliance , risk and regulatory frameworks. + Execute documentation and booking of transactions +… more
- Citigroup (Riverside, 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...to work without direction + US: Current Registration for FINRA series 6, 63, and 65 are required for… more
- US Bank (Irvine, CA)
- …commercial real estate property types and transactions. Review appraisal reports for compliance with bank policy and procedures, USPAP, and federal and state ... products/services, systems, and associated risks/controls - Thorough knowledge of Risk/ Compliance /Audit competencies - Strong analytical, process facilitation and project… more
- ADP (San Diego, CA)
- …Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority ( FINRA ) Series 6 and 63 licensing is a plus; candidates with great ... and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the...conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our… more
- Bank of America (Walnut Creek, CA)
- …transactions and operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively manage any ... to the broader enterprise + Managing the daily operations ensuring compliance to industry regulations, and policies and procedures **Required Qualifications:** +… more
- US Bank (Irvine, CA)
- …in accordance with bank spreading standards and credit policies. Maintains a compliance monitoring database that tracks credit approval requirements and receipt of ... financial statements, tax returns, personal financial statements and company compliance certificates to support lending activities associated with large credit… more
- US Bank (Brea, CA)
- …within their access, and maintain a high standard of accuracy and compliance . Essential Functions: - Complete a variety of high-volume, process-driven tasks such ... accurate and organized records across systems, following established procedures and compliance requirements. - Contribute to team efficiency by identifying potential… more
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