Investment Compliance Jobs in Norwalk, California | ComplianceCrossing.com
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Investment Compliance Jobs in Norwalk






Job info
 
Location
Newport Beach, CA
Posted Date
Aug 01, 17
Info Source
Employer  - Full-Time   

Newport Beach Functional Area: Compliance Department: L&C-Compliance-Regulatory Position Type: Full Time Education ... Provided: Yes Position Description The Compliance Associate/Senior Associate will be a ... a member of the Regulatory..

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

Great opportunity to join our Wholesale Credit Regulatory Compliance Quality Assurance Team! We are seeking a Regulatory Compliance Senior Officer. This position can be based in Atlanta, Boston, Charlotte, Jacksonville, Dallas, ..

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

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

 
Location
Los Angeles, CA
Posted Date
Aug 26, 17
Info Source
Employer  - Full-Time   

12,012 Deloitte Cyber Risk & Compliance Senior Manager in Los Angeles California..

 
Location
Los Angeles, CA
Posted Date
Aug 26, 17
Info Source
Employer  - Full-Time   

12,012 Deloitte Cyber Risk & Compliance Manager in Los Angeles California..

 
Company
Location
El Segundo, CA
Posted Date
Sep 01, 17
Info Source
Employer  - Full-Time   

International Trade Product Risk and Compliance Manager -- El Segundo International ... of the Product Risk and Compliance Manager is designed to provide ... international rules of practice or compliance..

 
Company
Location
Pasadena, CA
Posted Date
Sep 19, 17
Info Source
Employer  - Full-Time   

Analyst - CRA Reporting & Analysis in Pasadena California Founded in 1908, CIT (NYSE: CIT) is a financial holding company with more than $65 billion in assets. Its principal bank subsidiary, ..

 
Job title
Company
Location
Los Angeles, CA
Posted Date
Sep 15, 17
Info Source
Employer  - Full-Time  90  

Position Purpose: The Compliance Officer of Bank of Hope ... also serves to ensure that compliance risks are appropriately identified, monitored, ... • Partner with Director of Compliance in administering..

 
Location
Pasadena, CA
Posted Date
Sep 16, 17
Info Source
Employer  - Full-Time   

Bill Quality Compliance Auditor I','632984','Sep 16, 2017','!*!Accountable for conducting various revenue cycle audits including, but not limited to: professional bills, hospital or facility bills, automated changes trigger functions, manual charge capture ..

 
Company
Location
El Segundo, CA
Posted Date
Sep 18, 17
Info Source
Employer  - Full-Time   

International Trade Product Risk and Compliance Manager -- El Segundo International ... of the Product Risk and Compliance Manager is designed to provide ... international rules of practice or compliance..

 
Job title
Location
Irvine, CA
Posted Date
Sep 20, 17
Info Source
Employer  - Full-Time   

... installment lending and account servicing compliance expertise and quality control or ... in maintaining our highly functioning compliance program. Essential Duties and Responsibilities ... time delivery of routine operational..

 
Location
Rosemead, CA
Posted Date
Sep 21, 17
Info Source
Employer  - Full-Time   

Sr Mgr, Compliance, Audits & Investigati','71019457','Sep 20, 2017','Ongoing','US-CA-Rosemead','','!*!Are ... part of the Ethics and Compliance management team reporting to the ... to the Principal Manager of Compliance Assurance and oversees..

 
Company
Centaurus Financial Inc.
Location
Anaheim, CA
Posted Date
Aug 25,2017
Info Source

REGIONAL COMPLIANCE OFFICER*. Is a full service broker/dealer and registered investment advisor catering to the independent investment professional......

 
Company
UBS
Location
,
Posted Date
Sep 07,2017
Info Source

3+ years' relevant experience in risk management, risk control, audit or compliance. You'll be working in the Compliance and Operational Risk Control, Asset.....

 
Company
GroupM
Location
,
Posted Date
Aug 18,2017
Info Source

SOx Compliance – Ensure that points of non-SOx compliance within IT systems, reports, data and processes are logged and a plan for moving to compliance is in.....

 
Company
Cetera Financial Group
Location
,
Posted Date
Aug 16,2017
Info Source

Three years relevant experience in compliance (Advertising Compliance experience preferred). Assist in researching and responding to customer and/or producer.....

 
Company
UBS
Location
,
Posted Date
Aug 10,2017
Info Source

Act as a compliance and operational risk control subject-matter expert for UBS Asset Management Americas - Traditional Investment, Fixed Income, Equities,.....

 
Company
Deloitte
Location
Los Angeles, CA
Posted Date
Jul 19,2017
Info Source

Tax compliance experience. Global Investment & Innovation Incentives (Gi3). 3+ years’ experience in core federal tax compliance......

 
Company
Tech Recruiting
Location
Los Angeles, CA
Posted Date
Sep 15,2017
Info Source

Trading/Compliance Technology Manager Job Summary: Fortune 500 Financial Firm seeks individuals will work directly with clients to transform their ..

 
Company
Law Offices of Patrick Burns / Advanced Regulatory Compliance, Inc.
Location
Beverly Hills, CA
Posted Date
Sep 19,2017
Info Source

The position will involve assisting Registered Investment Advisers (“RIA”s) on-going regulatory compliance obligations for a range of investment advisers......

 
Company
The Compliance Search Group
Location
Los Angeles, CA
Posted Date
Jul 21,2017
Info Source

Assist in the development and/or revising procedures designed to ensure compliance with the Investment Advisers and Investment Company Acts......

 
Job title
GRANTED JOB
Company
The Compliance Search Group
Location
Los Angeles, CA
Posted Date
Jul 17,2017
Info Source

Assist in the development and/or revising procedures designed to ensure compliance with the Investment Advisers and Investment Company Acts......

 
Job title
GRANTED JOB
Company
Oaktree Capital Management, L.P.
Location
Los Angeles, CA
Posted Date
Jun 30,2017
Info Source

Based in downtown Los Angeles, the Compliance Analyst will assist in the monitoring of compliance with a number of Oaktree internal policies and regulatory.....

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