- Citigroup (San Francisco, CA)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure strict adherence to KYC/AML...goal-oriented team player able to work without direction + Securities Industry Essentials - SIE, Active Series 7, 66… more
- JPMorgan Chase (San Diego, CA)
- …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and...Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor,… more
- PCL Construction (San Diego, CA)
- …insurance. + Evaluates, coordinates, and ensures insurance, bonding, and other performance securities are being met to satisfy contract and corporate requirements as ... Insurance Policy. + Leads the preparation of contracts and agreements in compliance with PCL policies, sector specific Contractual Preferred Position documents and… more
- PCL Construction (Los Angeles, CA)
- …effectively. * Evaluate and ensure insurance, bonding, and other performance securities are being met to satisfy contract and corporate requirements. **Financial ... financial results with respect to profits, trends, costs, and compliance with project and administrative budgets. * Provide the...and reporting * Advanced knowledge of bid and contract securities and insurance and they relate to risk management,… more
- Citigroup (San Francisco, CA)
- …provide advice across a variety of asset classes ranging from complex marketable securities loans and less liquid financial assets, commercial real estate to more ... the wider Citi Wealth lending growth aspirations. Ensuring effective and consistent compliance to control standards **Qualifications:** + 15+ years of UHNW lending… more
- Cardinal Health (Sacramento, CA)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... (GPOs, IDNs, hospitals, physician offices, etc.), strategic sourcing, marketing, regulatory/ compliance and contract manufacturing. **_Responsibilities_** + Demonstrate strong business… more
- Wells Fargo (San Francisco, CA)
- …check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Cardinal Health (Sacramento, CA)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... on a variety of legal questions and issues, such as contract compliance and confidentiality. Determines appropriate legal actions and projects associated costs for… more
- Wells Fargo (San Jose, CA)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 and all related… more
- Cardinal Health (Sacramento, CA)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... + Handle fast paced and high-volume workload + Identify legal and compliance issues and business risks and escalate appropriately + Effectively communicate with… more