- MUFG (Los Angeles, CA)
- …pertinent to making a decision with little support from management **Policy Compliance :** + Ensure compliance with external regulatory/internal policy and ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Citigroup (Los Angeles, CA)
- …ensuring the proper application of policies and institutional processes + Ensures compliance with regulatory requirements and Citi's policies / guidelines at all ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...of credit needs, and knowledge of bespoke needs + FINRA Licensing, Series 79, 63, SIE + Sound knowledge… more
- Broadridge Financial Solutions (El Dorado Hills, CA)
- …MQ governance modelsnaming conventions, access controls, TLS/mutual auth, and compliance enforcement. + Define audit logging, configuration baselines, and change ... or internal tools. + Partner with Broadridge Security team to ensure compliance with encryption, access control, and audit policies. Leadership & Enablement +… more
- Citigroup (Los Angeles, CA)
- …ensuring the proper application of policies and institutional processes + Ensures compliance with regulatory requirements and Citi's policies / guidelines at all ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- San Francisco Federal Credit Union (San Francisco, CA)
- …needs and objectives. * Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a ... Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. *… more
- Citigroup (Los Angeles, CA)
- …ensuring the proper application of policies and institutional processes + Ensures compliance with regulatory requirements and Citi's policies / guidelines at all ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...+ 10+ years of experience in Commercial Banking + FINRA Series 79, 63, SIE (current or ability to… more
- MUFG (Los Angeles, CA)
- …pertinent to making a decision with little support from management **Policy Compliance :** + Ensure compliance with external regulatory/internal policy and ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- US Bank (Glendora, CA)
- …directly with internal supervisors and business lines, external fund counsel, compliance officers, external auditors, and investment advisers, including matters that ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- JPMorgan Chase (La Canada Flintridge, CA)
- …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- Santander US (Los Angeles, CA)
- …lifecycle, from initial deal origination through closing + Adhere to compliance procedures and internal/operational risk controls in accordance with all applicable ... curiosity and courage in leadership style + Team player and self-starter **Certifications:** FINRA Licenses 7 and 63 required. EEO Statement: At Santander, we value… more