- Umpqua Bank (Irvine, CA)
- …+ Maintain working knowledge of our policies and procedures regarding the Bank Secrecy Act, Regulation CC, Regulation E, Bank Security, and other regulations that ... apply to your position. + May be asked to coach, mentor, or train others and teach coursework as subject matter expert. **About** **You:** + Bachelor's degree in business, finance, or equivalent, required. + Less than 2 years of previous mortgage… more
- US Bank (Los Angeles, CA)
- …FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as ... those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. **Posting may be closed… more
- Atria Wealth Solutions (Dublin, CA)
- …state laws and banking regulations (including those related to OFAC and Bank Secrecy Act / Anti-Money Laundering compliance) and Patelco Credit Union's policies and ... procedures. Qualifications + Bachelors degree in in finance, business or related field required. + 5+ years related investment industry experience and/or training. + 3+ years of prior management experience, including sales coaching experience. + Series 7, 63,… more
- US Bank (Walnut Creek, CA)
- …FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as ... those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. **Posting may be closed… more
- San Francisco Federal Credit Union (San Francisco, CA)
- …control and quality standard requirements of the Credit Union including the Bank Secrecy Act A minimum of three (3) years of related experience and/or training; ... or equivalent combination of education and experience in a financial institution. Why Join Us? The compensation package includes an excellent benefits program including health insurance plans, generous PTO, 401(k) Plan, profit sharing, competitive base,… more
- US Bank (Sacramento, CA)
- …FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as ... those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. **Posting may be closed… more
- US Bank (Los Angeles, CA)
- …FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as ... those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. **Posting may be closed… more
- City National Bank (Los Angeles, CA)
- …Credit policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending, Code of ... Conduct, etc.) * Represents the Bank by actively participating in outside civic and community affairs, business and industry-related organizations, and other professional activities as appropriate. * Supports Head of Business Banking on projects designed to… more
- US Bank (Los Angeles, CA)
- …FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as ... those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. **Posting may be closed… more
- US Bank (Newport Beach, CA)
- …FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as ... those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. **Posting may be closed… more