- Wells Fargo (Hesperia, CA)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... in the sales development process * Knowledge and understanding of retail compliance controls, risk management, and loss prevention * Ability to follow policies,… more
- Wells Fargo (Lynwood, CA)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... in the sales development process + Knowledge and understanding of retail compliance controls, risk management, and loss prevention + Ability to follow policies,… more
- Wells Fargo (Sacramento, CA)
- …reviews for complex transactions, mentor primary reviewers, and ensure compliance with internal control procedures. Develop and administer Quality Assurance ... intrusion issues + Experience and expertise in supporting Commercial Mortgage-Backed Securities (CMBS), Low-Income Housing Tax Credit, and GSE-related (Fannie Mae,… more
- Wells Fargo (Rolling Hills Estates, CA)
- …in a dynamic and complex environment **Job Expectations:** + Specific compliance policies may apply regarding outside activities and/or personal investing; affected ... 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… more
- Wells Fargo (Los Angeles, CA)
- …real estate operations + Knowledge and understanding of Regulatory Risk and Compliance policies and programs **Work Locations:** 30 Hudson Yards, New York City ... 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… more
- MUFG (Los Angeles, CA)
- …will be extended to various clients, making sure the terms are in compliance with the bank policy guidelines. When necessary, prepare credit applications and obtain ... credit review reports and perform credit control duties. Policy Compliance (5%) + Ensure compliance with external...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… 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 ... contracts are compliant. This job also reviews external communications to confirm legal compliance and liaises with a variety of Legal and other internal teams to… more
- NVIDIA (Santa Clara, CA)
- …equity programs, while maintaining our high standards for operational excellence, compliance and employee experience. This role requires a highly organized, ... you will lead all aspects of the administration and compliance of our Employee Stock Purchase Plan (ESPP) &...with US and international regulations regarding income, tax withholding, securities and reporting for stock awards. + Partner with… more
- JPMorgan Chase (Del Mar, 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 (Long Beach, 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