- CalSTRS (Sacramento, CA)
- …compliance, business risk oversight, investment legal document review, or operations + Experience with project planning, strategy, or process implementation ... 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
- MUFG (Menlo Park, CA)
- …and external sources. + Oversee facility closing procedures, including operations and documentation. + Identify potential debt opportunities through research ... 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
- MUFG (Los Angeles, CA)
- …international market place + Extensive knowledge of overall corporate banking operations /or (front/middle/back office) in Japan and overseas and exposure to ... 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
- Citigroup (Beverly Hills, CA)
- …complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects ... Ability to manage relationships both internal and external; Ability to multi-task + FINRA Securities Licenses: Series 7 and 66 (or 63 & 65) required to obtain within… more
- HUB International (Encino, CA)
- …of Ethics and other policies and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in ... including data collection and completion of the ADV forms with support of operations and advisor staff. + Participate in the investment due diligence process for… more
- MUFG (Los Angeles, CA)
- …to drive alignment and an improved customer experience + Partner with technology, operations , sales, compliance risk and client delivery to build and deliver a new ... 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
- Altium (San Diego County, CA)
- …the processes, and regulatory systems that govern Altium's activities to ensure smooth operations and minimize risks. **A day in the life of our Manager, Cloud ... preferred + International Compliance Association (ICA) certification required; Certified Securities Compliance Professional (CSCP) is a strong plus + Familiar… more
- Stanford University (Stanford, CA)
- …a member of a lean, dedicated legal team supporting all aspects of SMC's operations to assist in providing current and long-term support to the University. Key ... Structuring investments, including in private investment funds, derivatives, and individual securities . + Developing and implementing tax strategies to help optimize… more