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

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Job title
Company
Location
Los Angeles, CA
Posted Date
Sep 15, 17
Info Source
Employer  - Full-Time  90  
Total Views
11

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

 
Location
Irvine, CA
Posted Date
Oct 16, 17
Info Source
Employer  - Full-Time   
Total Views
16

AmTrust Financial Services, Inc., (Nasdaq: AFSI) headquartered in New York City, is a multinational insurance holding company, which, through its insurance carriers, offers specialty property and casualty insurance products, including workers' ..

 
Job title
Company
Location
Los Angeles, CA
Posted Date
Nov 07, 17
Info Source
Employer  - Full-Time   
Total Views
2

Responsibilities & Duties • Collect, validate and report HMDA data quarterly • Prepare HMDA data for annual submission to the appropriate Federal Agency • Validate accuracy and completeness of HMDA data ..

 
Company
Location
Los Angeles, CA
Posted Date
Nov 13, 17
Info Source
Employer  - Full-Time   
Total Views
2

... in 1852, Wells Fargo provides banking, insurance, investments, mortgage, and consumer ... help them succeed financially.Wealth & Investment Management: Wealth and Investment Management (WIM) is one of ... include..

 
Location
Alhambra, CA
Posted Date
Nov 14, 17
Info Source
Employer  - Full-Time   
Total Views
4

EMCORE Corporation is a leading provider of advanced Mixed-Signal Optics products that provide the foundation for today’s high-speed communication network infrastructures and leading-edge defense systems. Our optical chips, components, subsystems and ..

 
Location
Pasadena, CA
Posted Date
Nov 16, 17
Info Source
Employer  - Full-Time   
Total Views
3

Coding Compliance Auditor - WC','633759','Nov 16, 2017','!*!The ... Auditor - WC','633759','Nov 16, 2017','!*!The Compliance Auditor is responsible for partnering ... and to work with Regional Compliance to develop and implement..

 
Company
Location
Irvine, CA
Posted Date
Nov 17, 17
Info Source
Employer  - Full-Time   
Total Views
4

Sr. Information Security Risk and Compliance Consultant in Irvine California U.S. ... Sr. Information Security Risk and Compliance Consultant to contribute toward the ... analyze and articulate implications of compliance..

 
Company
Location
Los Angeles, CA
Posted Date
Nov 21, 17
Info Source
Employer  - Full-Time   
Total Views
2

• Assist with the scoping analysis to determine the key processes to review for the SOX program. • Review and update SOX narratives and control matrices • Assist in creating process ..

 
Company
FirstService Residential
Location
Irvine, CA
Posted Date
Nov 23,2017
Info Source

... ensure compliance and prompt resolution. ESSENTIAL DUTIES AND RESPONSIBILITIES include the ... bank reconciliation items, cash shortages, investment management opportunities, etc..

 
Company
UnionBank
Location
Corona Del Mar, CA
Posted Date
Nov 13,2017
Info Source

... investment products and other banking services to meet or exceed assigned Branch goals. The ... Ensure that the office is operating in a safe and effective manner Risk Management and ..

 
Company
Wells Fargo
Location
Buena Park, CA
Posted Date
Nov 11,2017
Info Source

... banking, consumer lending, business banking, small business, mortgage lending, investments ... Compliance with state law requirements is required. * Obtaining and/or maintaining appropriate .....

 
Company
First Choice Bank
Location
Cerritos, CA
Posted Date
Nov 06,2017
Info Source

Exploring investment opportunities 14. Establishing and evaluating profit plans 15. Identifying ... Assures compliance with all Bank policies, procedures and processes, and all applicable state and .....

 
Job title
Company
First Choice Bank
Location
Cerritos, CA
Posted Date
Nov 06,2017
Info Source

... reviews, valuation, investment activities, budgeting, forecasting, financial modeling ... compliance with established Bank policies, procedures and state and federal regulations. 12..

 
Job title
Company
Bank of America
Location
Ontario, CA
Posted Date
Nov 03,2017
Info Source

Merrill Lynch Wealth Management is part of Bank of America Corporation. The Practice Management ... compliance and personal growth and development according to both a day-to-day and longer-term plan..

 
Job title
Company
Insight Investments
Location
Costa Mesa, CA
Posted Date
Oct 21,2017
Info Source

... bank audits and other audits as needed * Ensure compliance with internal control and accounting ... Investments, LLC is an Equal Employment Opportunity/Affirmative Action employer and all qualified .....

 
Job title
Company
Tax & Financial Group
Location
Newport Beach, CA
Posted Date
Oct 16,2017
Info Source

Previous experience in banking, financing, or other related fields * Familiarity with investment ... compliance, marketing, licensing & registration, training and development - Travel nationally and .....

 
Job title
Company
JMAC Lending
Location
Santa Ana, CA
Posted Date
Oct 13,2017
Info Source

Re-verify borrower and co-borrower bank accounts and bank statements; * Re-verify borrower ... compliance with investor requirements; * Prior working knowledge and experience in the calculation .....

 
Company
Primary Partners
Location
Newport Beach, CA
Posted Date
Oct 12,2017
Info Source

... proper compliance with federal and state government regulations, investor requirements, and ... Must be able to work on a banking platform for top mortgage originators and consistently outperform .....

 
Company
Opus Bank
Location
Irvine, CA
Posted Date
Jun 07,2017
Info Source

Conduct ongoing compliance monitoring of the Bank's activities in accordance with applicable laws ... investors, financial institutions, capital raisers and financial advisors..

 
Company
Opus Bank
Location
Irvine, CA
Posted Date
Jan 05,2017
Info Source

... banking and investment counseling needs. * Conducts interviews with applicants to thoroughly ... Ensure compliance with all regulatory and credit policies & guidelines of Opus Bank. * Responsible .....

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