- DuPont (Carlsbad, CA)
- …the root cause level. + Maintain the Document Change Database to ensure compliance with company QMS requirements. + Collect and analyze Key Performance Indicator ... & external audits. + Maintain the Training Management Database to ensure compliance with company QMS requirements + Assist Quality Engineers with customer… more
- Meta (Fremont, CA)
- …accurate and timely information within the bounds of regulatory and policy compliance . Analytical and modeling skills, attention to detail, organization, and a ... and other business analytics 6. Manage Sarbanes-Oxley Act (SOX) compliance for area of responsibilities **Minimum Qualifications:** Minimum Qualifications: 7.… more
- Bank of America (Los Angeles, CA)
- …to provide investment advice and recommendations to clients that includes full securities execution support and brokerage account servicing. The team is looking to ... Policy in the Merrill Lynch Global Wealth and Investment Branch Office Compliance Manual. This position is subject to SAFE Act registration requirements. Pursuant… more
- Raymond James Financial, Inc. (Pasadena, CA)
- …new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee ... or services. + Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in** + Operating client relationship manager system and… more
- Gilead Sciences, Inc. (Foster City, CA)
- …actions, anti-trust, commercial disputes, tax, appellate court proceedings, and securities actions. + Investigation experience that ranges from internal ... with internal and external investigations including anti-corruption and healthcare compliance . + Experience with the following is preferred: pharmaceutical… more
- US Bank (Irvine, CA)
- …file for EIN's, and track residual holder transfers. As required, perform portfolio compliance tests on a selection of structured fixed income deals (trade testing). ... Skills/Experience** - Thorough understanding of syndicated bank loans, fixed income securities , securitization, trading or mutual funds - Ability to identify and… more
- Securities and Exchange Commission (San Francisco, CA)
- …The Division of Enforcement conducts investigations into violations of the federal securities laws, and prosecutes the Commission's civil suits in the federal courts ... information, to the agency within 30 calendar days of the date of alleged non- compliance by contacting the Legal and Policy Office in the Office of Human Resources… more
- BlackRock (San Francisco, CA)
- …trillion in assets under management, BTC offers active and indexing strategies, and securities lending and transition management services. As a member of the SF ... Legal & Compliance team (SF L&C), this position supports lawyers and other professionals on the BTC Legal Team. **Responsibilities include:** + Preparing and… more
- Citigroup (San Francisco, CA)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... areas. + US Only: S7, S66 (or 63 & 65) & S3; NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** + Bachelor's/University degree,… more
- CalSTRS (Sacramento, CA)
- …influencing policies, financial reporting standards for pension contributions in compliance with Generally Accepted Accounting Principles (GAAP), error and fraud ... of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700)… more