• Senior SEC Manager

    Robert Half Finance & Accounting (Emeryville, CA)
    …of our team based in Emeryville, California. The role involves ensuring compliance with the Securities and Exchange Commission regulations, overseeing ... + Manage tie-outs and internal/external document reviews. + Ensure SOX 404 compliance for disclosure accuracy. + Prepare materials for the Audit Committee. Technical… more
    Robert Half Finance & Accounting (03/14/25)
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  • Senior Attorney for Real Estate and Land Use

    Southern California Edison (Rosemead, CA)
    …including identifying legal and business risks and recommending solutions. + Securities /Corporate Governance Sr Attorney oversees compliance with federal and ... and d) advising internal client organizations and project teams regarding compliance with applicable laws and policies and identifying legal and business… more
    Southern California Edison (05/15/25)
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  • Compliance and Operations Manager

    Insight Global (Los Angeles, CA)
    Job Description Insight Global is looking for a Compliance /Operations Manager for an investment firm in Los Angelos, CA. As a Compliance Officer, you will be ... responsible for ensuring our firm's compliance with all applicable federal and state regulations, including...of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange… more
    Insight Global (05/13/25)
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  • Manager, Investment Services

    Atria Wealth Solutions (Dublin, CA)
    …that promote synergy. + Oversee the completion of all required Credit Union compliance training and those mandated by the broker-dealer. + Serve as a liaison ... training content for branch teams and vet content with Compliance and our broker-dealer partner, and ensure monthly training...coaching experience. + Series 7, 63, 65 (or 66) Securities Registrations, and Life Insurance licenses are required. +… more
    Atria Wealth Solutions (05/15/25)
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  • GenAI Solutions Architect - Assoc Dir / Dir

    S&P Global (CA)
    …to track model performance, data quality, and infrastructure. + Security and Compliance : Implement security measures and compliance standards to protect ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
    S&P Global (03/20/25)
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  • Senior Counsel- Legal & Wealth Management

    City National Bank (Los Angeles, CA)
    …is expected to advise on a broad range of matters under the banking and securities laws, including the SEC, FINRA, OCC, FRB, and FDIC, help resolve issues as they ... in advising the Bank's wealth management businesses on banking and securities regulatory matters, legislation, new product development, and documentation and in… more
    City National Bank (05/10/25)
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  • Sr Data Scientist- NLP, LLM and GenAI

    S&P Global (CA)
    …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
    S&P Global (05/27/25)
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  • Investment Relationship Officer

    City National Bank (Los Angeles, CA)
    …all new account documents, account transfers (acats), DTC delivery of securities , money movements including cash disbursements and deposits, wires, IRA ... apprised of significant client issues and potential problems. * City National Securities Brokerage Account Administration Establish new accounts opened in CNS on the… more
    City National Bank (04/18/25)
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  • Senior Supervisory Control Specialist

    Wells Fargo (San Diego County, CA)
    …the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands ... the organization and Independent Offices. Additionally, you will partner with areas of Compliance , Legal and the Line of Business, as needed, in addressing concerns… more
    Wells Fargo (04/29/25)
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  • Branch Support Manager

    Wells Fargo (San Diego, CA)
    …Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other ... projects require, ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures + Be responsible for execution of various… more
    Wells Fargo (05/30/25)
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