- City National Bank (Los Angeles, CA)
- …applicable laws and regulations, ensuring controls are in place to mitigate compliance risk . Maintaining regulatory change management, policies and procedures, ... agencies, including exam management and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM).… more
- City of Long Beach (Long Beach, CA)
- …and stakeholders, with recommendations for improvement. + Ability to identify areas of financial risk exposure, review existing controls, and potential gaps. + ... team manages a diverse portfolio that includes accounting, budgeting, financial planning and analysis, grants management, and risk...Port of Long Beach. Reporting to the Manager of Financial Planning & Analysis, The Port Compliance … more
- PNC (Los Angeles, CA)
- … monitoring program and reviews activity to ensure it falls within established risk control limits. Executes on the Compliance program objectives for assigned ... needed to be successful in this position. **Preferred Skills** Compliance Reporting, Customer Risk , Decision Making, Regulatory Requirements,… more
- Guardian Life (Sacramento, CA)
- …and Park Avenue Investment Advisory, you will conduct branch office inspections using risk -based testing methodologies to ensure compliance with FINRA Rule 3110 ... in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk...and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules… more
- Google (Los Angeles, CA)
- …compliance issues management and binding commitments, across the following compliance risk domains: Payments, Competition, Consumer Protection, Content, ... degree or equivalent practical experience. + 10 years of experience in compliance , risk management, investigation, auditing, legal, or consulting. **Preferred… more
- Navient (San Francisco, CA)
- …procedures, and training materials aligned with regulatory best practices. + Lead risk assessments and compliance initiatives to identify issues, mitigate ... **About You:** + 3-4+ years of experience in regulatory compliance , audit, or operational risk & controls...is a plus. + 1-2 years of experience conducting compliance testing routines & supporting consumer financial … more
- City National Bank (Los Angeles, CA)
- …* Provide legal advice to all three lines of defense (front line, Risk / Compliance , Audit), broker-dealer businesses, and other US-based businesses regarding all ... AML laws, including the Bank Secrecy Act, and other financial crimes. * Advise on high- risk client...with internal and external counsel and cross-functional teams, including compliance / risk to identify and mitigate risks associated… more
- City National Bank (San Francisco, CA)
- …SENIOR* WHAT IS THE OPPORTUNITY? Management and accountability of the Bank's Financial Crimes Compliance (FCC) department responsible for the bank's OFAC ... to conduct cross-functional collaboration and communication with technology, business colleagues, compliance and parent company, RBC, risk management at all… more
- SMBC (Sacramento, CA)
- … compliance and risk teams. + Partners on the enhancement of financial crimes compliance key performance metrics and reporting criteria and participate in ... and testing activities. + Proven cross-functional project management experience across financial crimes compliance , risk , technology, and operations.… more
- Girl Scouts San Diego (San Diego, CA)
- …the Chief Executive Officer (CEO) and plays a critical role in shaping the financial health, strategy and resources, compliance and core operations of the ... goals and objectives. The CFAO is responsible for leading the council's financial strategy and oversees finance, information technology, risk management and… more