- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …processes, focusing on technical accounting matters, financial reporting, and ensuring compliance with accounting standards, such as US GAAP, rules and regulations ... of the Financial Industry Regulatory Authority ("FINRA"), Securities and Exchange Commission ("SEC"), and various state regulatory authorities. The role involves… more
- MUFG (Los Angeles, CA)
- …documentation changes, system/infrastructure updates, training materials, marketing materials, compliance standards, and other requirements. The position will ... clients to ensure understanding of services, as well as compliance requirements and procedures. + Serve as an escalation...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Wells Fargo (San Francisco, CA)
- …+ For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required **Location:** ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Wells Fargo (San Francisco, CA)
- …+ For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required **Location:** ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Wells Fargo (San Francisco, CA)
- …+ For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required **Location:** ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- MUFG (San Francisco, CA)
- …and regularly scheduled reviews of assigned loan portfolio, including covenants compliance . + Analyze credit risk of the designated portfolio, determine accurate ... contain appropriate representations. + Review reporting to verify completeness and compliance + Responsible for in-depth knowledge of Technology, Media and Telecom… more
- JPMorgan Chase (Cardiff By The Sea, CA)
- …+ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- JPMorgan Chase (Ojai, CA)
- …degree, GED, or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- MUFG (Los Angeles, CA)
- …validation activities (may occur outside of business hours). + Actively ensures compliance with the Bank's Business Standards of Conduct and all Patriot Act, ... and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all requisite corporate and… more
- City National Bank (Los Angeles, CA)
- …Markets, Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk)Thrives in a dynamic team-based environment, effectively manages ... all applicable risks (credit, liquidity, interest rate, price, operational compliance , strategic and reputation) and mitigating controls, designs comprehensive audit… more
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