- US Bank (Los Angeles, CA)
- …and capabilities working alongside product marketing, analytics, risk management, compliance , and technology stakeholders in a fast-paced Agile environment. Strong ... 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
- PNC (Cupertino, CA)
- …solutions and refers other banking products and services; reviews documentation to ensure compliance . + Grows, retains and develops an effective sales force to cover ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Los Angeles, CA)
- …of collateral on the Borrowing Base Certificates.Ensures that the Borrowing Base is in- compliance and being managed per the terms and conditions stipulated in the ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Ontario, CA)
- …relevant information for accuracy. Performs common processing and ensures compliance with standard regulations and processes. May administer complex implementation ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- US Bank (Los Angeles, CA)
- …middle and back-office functions to support client trading activity + Actively ensure compliance with all US Bancorp policies and procedures such as Code of Ethics ... 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
- PNC (Calabasas, CA)
- …statements, market, and economic data to determine the economic impact and/or compliance impact for the operation of the assets. May follow-up with internal ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- JPMorgan Chase (San Francisco, CA)
- …ensure client meetings are properly prepared for in advance. + Ensure compliance with organization policies and applicable regulations, ad Hoc service requests as ... capabilities, and skills: + 5 plus years' experience in Financial Services industry + FINRA Series 7 and 66 licenses required + Bachelor's degree required + Proven… more
- Coinbase (Sacramento, CA)
- …risk assessments to make informed, risk-based recommendations to programs; ensure compliance with local regulations and insurance requirements. * Drive business ... * Certifications: PSP, CPP, CHPA, or CEM. * Regulatory exposure: SOX, FFIEC, FINRA , GDPR, CCPA. Position ID: 2819 \#LI-Hybrid *Pay Transparency Notice:* Depending on… more
- SMBC (Los Angeles, CA)
- …CORE COMPETENCIES/SKILLS + Thorough knowledge and understanding of SMBC KYC and compliance procedures. + Strong customer service skills. + Problem solving ability to ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- US Bank (Irvine, CA)
- …Banking. They will also be engaged in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations. They will act ... 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
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