- TEKsystems (San Diego, CA)
- …and licensing processes. You'll play a key role in ensuring compliance and delivering exceptional service in a fast-paced, client-focused environment. Key ... Responsibilities + Serve as the primary support for advisors regarding compliance , registration, and FINRA licensing requirements. + Provide walkthroughs and support… more
- MUFG (Los Angeles, CA)
- …laundering (AML), Bank Secrecy Act (BSA), and other relevant operational, compliance and other risk management-related requirements as appropriate. + Further a ... culture of risk and compliance discipline, which includes, but is not limited to,...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- The Walt Disney Company (Burbank, CA)
- …daily business operations and resolve servicing issues - account specific, compliance and operational procedures, client requests, etc. Interact with Credit Union ... budget and marketing functions. Develop and apply sufficient knowledge of the securities and insurance industries to better serve current and prospective clients.… more
- MUFG (Los Angeles, CA)
- …and defects as an advocate for outstanding customer experiences. + 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
- Western Digital (Sacramento, CA)
- …DC The position will report to the Vice President, Government Affairs, Securities and Corporate Governance. **Responsibilities** + Lead and grow a corporate ... issues + In close cooperation with legal counsel and the Ethics & Compliance team, identify and create policies and procedures related to government interaction and… more
- PCL Construction (San Diego, CA)
- …of. We are looking for a contracts manager with federal contracts and compliance experience. Here's how a Contracts Manager for our Civil Infrastructure office ... a contracts manager who has previous federal contracts and compliance expereince (FAR/DFAR). **Responsibilities** + Completes necessary insurance reports required… more
- ADP (Irvine, CA)
- …meaningful impact. **Bonus points for these:** _Preferred Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) ... and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the...conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our… 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 ... a driven and skilled attorney with expertise in healthcare regulatory compliance , including third party billing and reimbursement. The Assistant General Counsel… more
- CalSTRS (Sacramento, CA)
- …providing oversight and management of investment performance, investment compliance /ethics programs, investment cost projects, or investment operations for ... of investment policies and strategies + Experience evaluating operational and compliance risk + Experience presenting information or findings to a Board… more
- CIBC (San Francisco, CA)
- …portfolio asset allocation schedules + Run performance reports + Complete securities processing (purchases, redemptions, capital calls, pricing updates) + Research ... + Achieve and sustain a balanced approach to managing risk by ensuring compliance controls and processes (regulatory, compliance , fiduciary) are integrated into… more
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