Investment Banking Compliance Officer Jobs in Diamond Bar, California | ComplianceCrossing.com
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Investment Banking Compliance Officer Jobs in Diamond Bar

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Job title
Company
Location
Los Angeles, CA
Posted Date
Jun 10, 17
Info Source
Employer  - Full-Time   

Position Purpose: The Compliance Officer of Bank of Hope must ... processes and have understanding of banking regulations, legal limitations placed on ... also serves to ensure that compliance risks..

 
Location
Los Angeles, CA
Posted Date
Aug 02, 17
Info Source
Employer  - Full-Time   

... join our Wholesale Credit Regulatory Compliance Quality Assurance Team! We are ... We are seeking a Regulatory Compliance Senior Officer. This position can be based ... Angeles or Hartford...

 
Company
Location
Irvine, CA
Posted Date
Aug 05, 17
Info Source
Employer  - Full-Time   

SVP, Chief Compliance Officer / FINOP Opus Bank's success ... success. We seek an experienced Compliance leader to oversee regulatory compliance and act as the FINOP ... dealer, Opus Financial..

 
Company
CalOptima
Location
Orange, CA
Posted Date
Jul 15,2017
Info Source

Develop traditional business banking functions and investment policies. Lead investment management activities......

 
Company
First Republic Bank
Location
Los Angeles, CA
Posted Date
Aug 15,2017
Info Source

The Alternative Investments Compliance Officer will also be responsible for the compliance monitoring for Volcker compliance......

 
Job title
Company
Bank of Hope
Location
Los Angeles, CA
Posted Date
Aug 02,2017
Info Source

O Reports suspicious activities to manager, Chief Risk Officer or Information Security Officer. Supervise investment portfolio activities......

 
Company
City National Bank
Location
Los Angeles, CA
Posted Date
Jul 07,2017
Info Source

Strong technical knowledge of banking, brokerage and investment businesses. Minimum of 7 years banking and compliance experience at a financial institution......

 
Company
Caruso
Location
Los Angeles, CA
Posted Date
Aug 03,2017
Info Source

Reconcile various bank and/or investment accounts. The Finance & Accounting Coordinator works closely with the Chief Investment Officer, SVP, Controller and VP,.....

 
Company
HSBC
Location
Diamond Bar, CA
Posted Date
Jun 12,2017
Info Source

Implement the Group compliance policy by containing compliance risk in liaison with Global ... liaison with Global Head of Compliance, Global Compliance Officer, Area Compliance.....

 
Job title
Company
CIT Group
Location
Pasadena, CA
Posted Date
Jun 01,2017
Info Source

Works with CIT Compliance Officer and/or administrator to ensure compliance with CRA regulations. The CRA ... with CRA regulations. The CRA Officer ensures that CIT is in ... ensures that..

 
Company
Opus Bank
Location
Irvine, CA
Posted Date
Aug 06,2017
Info Source

Business Banking Client Manager. Serves as primary contact with assigned prospective and current client for all of the financial, banking and investment.....

 
Job title
Company
Citi
Location
Fountain Valley, CA
Posted Date
May 20,2017
Info Source

Minimum 3 years’ corporate or banking work experience in a business administration, finance, legal or compliance related position......

 
Company
HSBC
Location
Arcadia, CA
Posted Date
Jul 05,2017
Info Source

Implement the Group compliance policy by containing compliance risk in liaison with Global ... liaison with Global Head of Compliance, Global Compliance Officer, Area Compliance.....

 
Company
HSBC
Location
Arcadia, CA
Posted Date
Jul 05,2017
Info Source

Implement the Group compliance policy by containing compliance risk in liaison with Global ... liaison with Global Head of Compliance, Global Compliance Officer, Area Compliance.....

 
Company
RockBridge Search & Recruitment
Location
Irvine, CA
Posted Date
May 03,2017
Info Source

Commercial Industrial (C Corporate/Commercial Banking. Comprehensive knowledge of banking products and services......

 
Company
Chinatrust Bank USA
Location
Irvine, CA
Posted Date
Aug 11,2017
Info Source

Knowledge of retail banking consumer and commercial products, loan products, financial reports, branch banking operations and procedures, and banking laws and.....

 
Company
Boston Private Bank & Trust Company
Location
Los Angeles, CA
Posted Date
May 19,2017
Info Source

Develop strong internal relationships with our client advisors, portfolio managers, investment staff, marketing team, and senior management......

 
Company
JPMorgan Chase
Location
Irvine, CA
Posted Date
Jun 10,2017
Info Source

JPMorgan Private Banking. · Conduct investment reviews with clients to validate the clients' current investment objectives and prepare recommendations of.....

 
Company
CTBC Bank USA
Location
Irvine, CA
Posted Date
Aug 17,2017
Info Source

Knowledge of retail banking consumer and commercial products, loan products, financial reports, branch banking operations and procedures, and banking laws and.....

 
Company
BNP Paribas
Location
Los Angeles, CA
Posted Date
Jun 21,2017
Info Source

Acts as the facility security officer. Complete knowledge of all non-lending aspects of branch banking. Acts as liaison between customers and the Treasury.....

 
Company
Bank of the West
Location
Los Angeles, CA
Posted Date
Jun 21,2017
Info Source

We offer opportunities across our diverse business lines - Retail Banking, Commercial Banking, and Wealth Management......

 
Job title
GRANTED JOB
Company
HSBC
Location
Artesia, CA
Posted Date
Jun 12,2017
Info Source

To implement the Group compliance policy locally by containing compliance risk in liaison with the ... with the Head of Group Compliance, Global Business Compliance Officer,.....

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