- Umpqua Bank (Walnut Creek, CA)
- …a working knowledge of Bank's written policies and procedures regarding Bank Secrecy Act, Regulation CC, Regulation E, Bank Security and other regulations as ... applicable to this job description. + May be asked to coach, mentor, or train others and teach coursework as subject matter expert. + Actively learns, demonstrates, and fosters the Columbia corporate culture in all actions and words. + Takes personal… more
- US Bank (Rohnert Park, 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 (San Francisco, CA)
- …policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code ... of Conduct, etc.). WHAT DO YOU NEED TO SUCCEED? *Required Qualifications** * Bachelor's Degree or equivalent * Minimum 5 years of lending/credit experience required. * Minimum 5 years of Relationship Manager experience required. * Sports finance and advisory… more
- City National Bank (San Diego County, CA)
- …policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code ... of Conduct, etc.). * Completes all required training. WHAT DO YOU NEED TO SUCCEED? *Required Qualifications** * Bachelor's Degree or equivalent * Minimum of 10 years commercial real estate lending experience. * Minimum of 5 years financial and income tax… more
- City National Bank (Los Angeles, CA)
- …other US-based businesses regarding all aspects of AML laws, including the Bank Secrecy Act, and other financial crimes. * Advise on high-risk client relationships ... and assist with de-marketing efforts. * Provide ongoing interpretation and implementation requirements for laws and regulations relating to AML and financial crimes. * Review policies, procedures, and controls to ensure compliance with applicable laws and… more
- City National Bank (Los Angeles, CA)
- …all Bank Operational and Credit policies and regulatory requirements (eg, Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, ... Code of Conduct). * Complete all required training and create and maintain application system overviews and technical documentation. * All other appropriate duties as required. *WHAT DO YOU NEED TO SUCCEED?* * * *Required Qualifications** * Bachelor's Degree… more
- City National Bank (Irvine, CA)
- …policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code ... of Conduct, etc.). * Follow appropriate Regulation 9 process. * Maintain all appropriate training and continuing education requirements for both internal programs and external licenses and certifications. *WHAT DO YOU NEED TO SUCCEED* *Must-Have** * Bachelor's… more
- City National Bank (Los Angeles, CA)
- …policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Code of Conduct, FINRA, ... etc.). WHAT DO YOU NEED TO SUCCEED? *Required Qualifications** * Minimum 5 years of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License *Additional Qualifications* *… more
- City National Bank (Los Angeles, CA)
- …policies and procedures as well as all regulatory requirements. (eg Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code ... of Conduct, etc.) What you will do * Plays a key role as mentor and coach to operational staff, providing operational guidance and direction; ensures CNB policies and procedures are integrated and institutionalized especially as new colleagues join CNB;… more
- City National Bank (Newport Beach, CA)
- …policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code ... of Conduct, etc.) * KEY CAPABILITIES * Client Centricity & Relationship Management - to understand a client's realities and growth ambitions, empathize with their challenges, earn trust and steward the relationship through advice & solutions catered to their… more