- Ankura (Los Angeles, CA)
- …review and supervision and quality control of data entry activities; + Providing non- legal outreach to state regulators as directed by project lead. Requirements: + ... companies, commercial lending, mortgage lending, consumer collections agencies and securities /brokerage [broker dealer, registered investment advisor, exempt registered advisor]… more
- Charles Schwab (Los Angeles, CA)
- …of applicable rules, regulations, policies, and procedures, and seek compliance or legal guidance when necessary. + Implement and carry out Charles Schwab & ... & Co. Inc. compliance manual, business unit specific policies/procedures, federal/state securities laws/regulations and applicable rules of FINRA, NASD, MSRB, CBOE,… more
- CoStar Realty Information, Inc. (Irvine, CA)
- …management experience in a business-to-business (B2B) environment selling CRE, financial securities , fintech/proptech, business intelligence or data & analytics is a ... healthcare coverage: Medical / Vision / Dental / Prescription Drug + Life, legal , and supplementary insurance + Virtual and in person mental health counseling… more
- CoStar Realty Information, Inc. (Los Angeles, CA)
- …selling CRE, digital advertising, marketing solutions, AdTech, PropTech, FinTech, financial securities , business intelligence or data & analytics. + Demonstration of ... healthcare coverage: Medical / Vision / Dental / Prescription Drug + Life, legal , and supplementary insurance + Virtual and in person mental health counseling… more
- Raymond James Financial, Inc. (Sacramento, CA)
- …Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal ) + Assists and provides input in the interpretation of new/changing ... securities rules, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures + Compiles operational… more
- JPMorgan Chase (Los Angeles, CA)
- …Provide end-to-end leadership by partnering cross-functionally with banking, risk, compliance, legal , marketing, etc; in addition to other lines of business ... Los Angeles region + Ability to mobilize internal networks and resources + FINRA securities licenses 79, 63 and 24 required for the role + Management experience in… more