- MUFG (Los Angeles, CA)
- …and funding of discounting transactions. + Interact with RMs, credit, legal, compliance and other internal teams + Frequent interaction with middle and back ... office teams. + Ensure transactions adhere with the banks compliance , risk and regulatory frameworks. + Execute documentation and booking of transactions +… 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 ... and their teams, other members of the Legal & Compliance organization, and the privacy professionals working within the...Develop and deploy privacy policies and procedures to ensure compliance with applicable data privacy laws and regulations +… 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 ... and its businesses; demonstrate business acumen. * Identify legal and compliance issues and risks, and escalate appropriately, exercising sound judgment about… 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
- 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
- ADP (Rancho Cucamonga, 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
- MUFG (Los Angeles, CA)
- …pertinent to making a decision with little support from management **Policy Compliance :** + Ensure compliance with external regulatory/internal policy and ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Vail Resorts (CA)
- …position leads a team of professionals with responsibilities including Vail's Securities and Exchange Commission ("SEC") reporting under US GAAP, administration and ... impact to the Company. Lead and coordinate management's SOX compliance efforts with respect to financial reporting. Coordination of...Deep expertise in GAAP and SEC & SOX research, compliance and reporting + Experience leading and developing teams… 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