Investment Compliance Manager Jobs in Placentia, California | ComplianceCrossing.com
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Investment Compliance Manager Jobs in Placentia

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Job info
 
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..

 
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 ... team reporting to the Principal Manager of Compliance Assurance..

 
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
Capital Group
Location
Irvine, CA
Posted Date
Sep 15,2017
Info Source

As an IT Risk and Compliance Manager based in Irvine, CA, you will provide in-depth expertise in the areas of Information Technology risk management and.....

 
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......

 
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......

 
Company
Pacific Investment Management Company LLC
Location
Newport Beach, CA
Posted Date
Jul 31,2017
Info Source

Strong knowledge of regulatory requirements applicable to investment managers including the Investment Advisers Act and Investment Company Act (knowledge of.....

 
Company
Global Eagle Entertainment
Location
Los Angeles, CA
Posted Date
Sep 19,2017
Info Source

Manager, Treasury – Debt, Compliance & Analytics. Prior experience in a debt compliance and analytics position is preferred......

 
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......

 
Company
Brokerage Consultants Inc.
Location
Los Angeles, CA
Posted Date
Aug 03,2017
Info Source

Compliance with the Investment Advisers and Investment Company Acts. LA-based boutique investment firm is seeking a Compliance Director to......

 
Company
Bank of America
Location
Brea, CA
Posted Date
Aug 29,2017
Info Source

Balancing investment management, sales activities, customer service, new client development, administrative, compliance and personal growth and development.....

 
Company
Bank of America
Location
Brea, CA
Posted Date
Aug 29,2017
Info Source

Proficiency in using Sales Force / Client Relationship Manager Tool. Establish and maintain relationship with the management team and inform them of any.....

 
Company
Bank of America
Location
Brea, CA
Posted Date
Aug 29,2017
Info Source

Proficiency in using SalesForce / Client Relationship Manager Tool. In addition to Planning, this position may be considered for both the Business Management.....

 
Company
New York Life Insurance Co
Location
Brea, CA
Posted Date
Jul 29,2017
Info Source

Travel throughout the United States may be required as an Associate Administrative Manager. Learn and eventually provide training for the specific functions,.....

 
Company
Cortland Capital Market Services
Location
Brea, CA
Posted Date
Aug 23,2017
Info Source

Ensure internal compliance and participate in internal SOC I requirements. Work with other Group Managers to ensure best practices are used across the entire.....

 
Company
ANN INC.
Location
,
Posted Date
Jul 21,2017
Info Source

Culture and ensures compliance with all ANN INC. Develops team to accomplish store’s business objectives through attraction, selection, coaching, investment,.....

 
Company
ANN INC.
Location
,
Posted Date
Jul 03,2017
Info Source

Culture and ensures compliance with all ANN INC. Develops team to accomplish store’s business objectives through attraction, selection, coaching, investment,.....

 
Company
ANN INC.
Location
,
Posted Date
Jun 30,2017
Info Source

Culture and ensures compliance with all ANN INC. Develops team to accomplish store’s business objectives through attraction, selection, coaching, investment,.....

 
Job title
GRANTED JOB
Company
ANN INC.
Location
,
Posted Date
Jun 30,2017
Info Source

Culture and ensures compliance with all ANN INC. Develops team to accomplish store’s business objectives through attraction, selection, coaching, investment,.....

 
Company
ANN INC.
Location
,
Posted Date
Jun 30,2017
Info Source

Culture and ensures compliance with all ANN INC. Develops team to accomplish store’s business objectives through attraction, selection, coaching, investment,.....

 
Job title
GRANTED JOB
Company
Consulting Professional Resources
Location
,
Posted Date
Sep 22,2017
Info Source

Internal Audit Manager. Leads complex internal audits to assess the effectiveness of controls, accuracy of financial records, efficiency of operations, and.....

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