- MetroLink (Los Angeles, CA)
- …DISTINGUISHING CHARACTERISTICS This is the entry level in the Contract and Compliance Administrator series . At this level, assignments are generally limited ... Special Services Employee (TEMP - Contract & Compliance Administrator Print (https://www.governmentjobs.com/careers/scrra/jobs/newprint/5052293) Apply Special Services… more
- Wells Fargo (Los Angeles, CA)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Ability ... all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management +...is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent… more
- Bank of America (Los Angeles, CA)
- …**required** to currently hold Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) equivalent ... clients to the broader enterprise + Managing the daily operations ensuring compliance to industry regulations, and policies and procedures **Key Qualifications for… more
- Bank of America (Newport Beach, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Bank of America (Walnut Creek, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... transactions and operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively manage any… more
- Bank of America (San Diego, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... daily operations of a Merrill branch office ensuring appropriate supervision and compliance to industry regulations, and policies and procedures + Driving business… more
- City and County of San Francisco (San Francisco, CA)
- …backbone. The 1044 Principal Security Engineer is the highest level in the Engineer series and may be assigned to function as a supervisor, expert or project leader. ... of the normal career path for employees in this series ; rather it is reserved for those employees with...lifecycle of information systems, and provides oversight to ensure compliance . 3. Analyzes and recommends security controls and procedures… more
- Atria Wealth Solutions (Dublin, CA)
- …63, 65 (or 66) Securities Registrations, and Life Insurance licenses are required. + Series 24 or Series 9 /10 Securities Registrations equivalent required. + ... Patelco has grown from $500 in assets to over $ 9 billion in assets and is the 7th largest...+ Oversee the completion of all required Credit Union compliance training and those mandated by the broker-dealer. +… more
- City and County of San Francisco (San Francisco, CA)
- …and program evaluation and planning. As the principal-level professional in this series , your work will be pivotal in shaping our organization's operations and ... spreadsheets, documenting findings, and formulating recommendations. Legislative and Regulatory Compliance : This specialization involves analyzing and evaluating the effect… more
- City and County of San Francisco (San Francisco, CA)
- …state, and federal legislation, offering informed advice to senior management on compliance and financial impacts of new regulations. + Developing, implementing, and ... managing required reporting systems, ensuring seamless compliance with legislative reporting mandates. Senior Budget Analysts Coordinate, develop, manage, and… more
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