- Lincoln Financial (Sacramento, CA)
- …74515 **The Role at a Glance** The Role at a Glance The Compliance Consultant, Funds Management role is responsible for supporting Lincoln's Funds Management ... business team by implementing and maintaining complex compliance programs for Lincoln Variable Insurance Products Trust (LVIP), Lincoln Retail Alternatives Funds… more
- Wells Fargo (San Francisco, CA)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following ... to influence and collaborate across various teams including Product, Sales, Technology, Risk , and Compliance . + Excellent written and verbal communication… more
- Banc of California (Santa Ana, CA)
- …and more. TOGETHER WE WIN(R) **THE OPPORTUNITY** Responsible for performing the Bank's risk based, annual SOX Compliance Program plan and other initiatives in ... to its local communities by supporting organizations that provide financial literacy and job training, small business support, affordable...work experience in an internal controls testing, internal audit, risk , or compliance role. + At least… more
- City National Bank (Los Angeles, CA)
- …to business issues relevant to various conflict of interest functions * Review/challenge compliance risk assessments, analyze the Bank's compliance risk ... Draft and maintain employee training for assigned topic areas. * Analyze the Bank's compliance risk ; determine if current processes control risk . * Complete… 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
- CDM Smith (Truckee, CA)
- …financial modeling and scenario analysis. * Manages and minimizes the company's financial risk exposure by developing and maintaining systems of internal ... relevant advice. * Advises the CEO and Board on financial planning, risk management, and capital structure....objectives. * Oversees global budgeting, forecasting, cash flow, and financial reporting. * Ensures compliance with accounting… 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 (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
- 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
- Applied Materials (Santa Clara, CA)
- …areas. . Collaborate with Subject Matter Experts (SMEs) to conduct thorough risk assessments to identify potential compliance risks and develop effective ... including trade and finance considerations. **Functional Knowledge** . Strong understanding of risk management principles and practices related to compliance . .… more