- PNC (Calabasas, CA)
- …be successful in this position. **Preferred Skills** Capital Management, Compliance Requirements, Corporate Accounting, Credit Assessment, Customer Experience (CX), ... 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 (Newport Beach, CA)
- …preparing and presenting credit requests for Credit Approval. Maintaining a compliance monitoring and financial statistic database that tracks credit agreement ... 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
- US Bank (Los Angeles, CA)
- …+ Promote a risk-aware culture; ensure efficient and effective risk and compliance management practices by adhering to required standards and processes. **Basic ... 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
- TIAA (Walnut Creek, CA)
- …business through referrals and insights. + Ensure operational accuracy, compliance , and high-touch client servicing. **Additional Responsibilities** + All licenses ... Preferred **Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 65 **Physical Requirements** + Physical… more
- City National Bank (Los Angeles, CA)
- …policies, systems, and methodologies * Assesses BC risks and policy/standard/procedure compliance relating to controls design, FLoD testing processes, FLoD testing ... managing to regulatory requirements including but not limited to: FFIEC, OCC, FINRA , Federal Reserve * Provides backup for Crisis Management Supervisor as necessary… more
- MUFG (Walnut Creek, CA)
- …for the production and submission of multiple regulatory filings in compliance with legal and regulatory requirements, the Bank's policies and procedures, ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- PNC (Oakland, CA)
- …solutions and refers products and services; reviews documentation to ensure compliance . Manages customer pipeline for efficiency. + Collaborates with internal and ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- TIAA (Sherman Oaks, CA)
- …+ Evaluates the performance of investment portfolios and ensures compliance with standards provided by regulatory organizations, including conformance with ... + All licenses must be obtained with 120 days from start date. ** FINRA Registrations** + SRC Indicator: Series 65 **Required Qualifications:** + 5+ years working… more
- Bank of America (San Diego, CA)
- …daily operations of a Merrill branch office ensuring appropriate supervision and compliance to industry regulations, and policies and procedures + Driving business ... hiring of individuals with certain specified criminal history for the position: FDIC; FINRA . **Shift:** 1st shift (United States of America) **Hours Per Week:** 40… more
- US Bank (Torrance, CA)
- …+ Direct business development and sales experience. + Legal, credit underwriting, compliance or other risk management experience. + Customer service and onboarding ... 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