Investment Compliance Jobs in Glendale, California | ComplianceCrossing.com


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31

Investment Compliance Jobs in Glendale





Job info
 
Company
Wells Fargo
Location
Los Angeles, CA
Posted Date
Apr 20, 19
Info Source
Employer  - Full-Time   

... liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. ... (FCRM) group within the Corporate Compliance organization is the independent risk ... responsibilities include providing consultation and..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Apr 19, 19
Info Source
Employer  - Full-Time   

Responsibilities & Duties • Coordinate and maintain workstreams using SOX compliance software. Relevant workstreams include quarterly SOX certifications, document request lists, IPE inventory and project / management reporting. • Administer user ..

 
Company
**********
Location
Beverly Hills, CA
Posted Date
Apr 23, 19
Info Source
Employer  - Full-Time   

The QC & Compliance Officer assists the Entertainment Division ... the Entertainment Division with lending-related compliance issues. Identifies risks and internal ... that all loans are in compliance with company..

 
Company
**********
Location
Los Angeles, CA
Posted Date
May 09, 19
Info Source
Employer  - Full-Time   

Perform compliance monitoring and testing to ensure ... monitoring and testing to ensure compliance with consumer protection laws and ... commercial lending. Determine degree of compliance and identify regulatory risk..

 
Company
**********
Location
Santa Clarita, CA
Posted Date
May 20, 19
Info Source
Recruiter  - Full-Time   

Education Bachelor's Degree Master's Degree Skills SOX ISO 9001 Procurement AS9100 Benefits Yearly Bonus Johnson Service Group (JSG) is seeking a talented Subcontract Compliance Specialist to manage the regulatory flow down, ..

 
Company
**********
Location
Los Angeles, CA
Posted Date
May 23, 19
Info Source
Employer  - Full-Time   

... cyber security, due diligence and compliance, physical and operational security, and ... and flexible technology tools, the Compliance Risk and Diligence practice of ... Solutions products and solutions for..

 
Company
**********
Location
Beverly Hills, CA
Posted Date
May 23, 19
Info Source
Employer  - Full-Time   

... Insurance Retirement Plan Advanced Regulatory Compliance LLC. (“ARC”) is a national ... (“ARC”) is a national full-service investment advisory compliance consulting firm backed by its ... explosive growth of..

 
Company
**********
Location
Santa Monica, CA
Posted Date
May 04, 19
Info Source
Employer  - Full-Time   

Who You Are: Fair’s Compliance Team is looking for a ... support in building out its compliance management system. This individual needs ... a wide variety of critical compliance support..

 
Company
**********
Location
Los Angeles, CA
Posted Date
May 05, 19
Info Source
Employer  - Full-Time   

... Summary: Support the Bank's Fiduciary Compliance Program by conducting testing activities ... by conducting testing activities for compliance with fiduciary and securities related ... rules and regulations. MAJOR RESPONSIBILITIES..

 
Company
**********
Location
Los Angeles, CA
Posted Date
May 09, 19
Info Source
Employer  - Full-Time   

... processes and controls to ensure compliance will all applicable privacy laws ... to identify necessary changes.Manage regulatory compliance with privacy laws and regulations ... periodic risk assessments and ongoing..

 
Company
**********
Location
Santa Clarita, CA
Posted Date
May 09, 19
Info Source
Recruiter  - Full-Time   

Job Description JobID: 373607 Johnson Service Group (JSG) is seeking a talented Government Compliance / Audit Specialist to manage the regulatory flow down, government procurement policy, procedure/instructions, and Small Business Liaison ..

 
Company
**********
Location
Playa Vista, CA
Posted Date
May 10, 19
Info Source
Employer  - Full-Time   

... to regulatory risk. The Customs Compliance team is focused on building ... remaining one of the top compliance-focused freight forwarders in the industry.nWeu0027re ... industry.nWeu0027re looking for a Customs..

 
Company
**********
Location
El Monte, CA
Posted Date
May 13, 19
Info Source
Employer  - Full-Time   

... control environment, and to ensure compliance with applicable Wells Fargo Independent ... SMEs to conduct Control team compliance risk-related due diligence prior to ... Qualifications6 years of experience in..

 
Company
**********
Location
Beverly Hills, CA
Posted Date
Apr 25, 19
Info Source
Employer  - Full-Time   

Cancel C QC & Compliance Officer - Entertainment Banking City ... us why The QC & Compliance Officer assists the Entertainment Division ... the Entertainment Division with lending-related compliance issues...

 
Company
**********
Location
Hollywood, CA
Posted Date
May 06, 19
Info Source
Employer  - Full-Time   

Education Bachelor's Degree Skills Certified Fraud Examiner Microsoft Word Analysis Skills Microsoft Access Microsoft Office At First Entertainment Credit Union, we believe that every story matters - that includes our members, ..

 
Company
**********
Location
Sherman Oaks, CA
Posted Date
May 20, 19
Info Source
Employer  - Full-Time   

... We are seeking a Regulatory Compliance Senior Consultant to be a ... a contributing team member on compliance monitoring, risk assessment, and internal ... you will: Design and evaluate..

 
Company
**********
Location
Compton, CA
Posted Date
May 13, 19
Info Source
Employer  - Full-Time   

... Under general supervision, designs contract compliance, monitoring and evaluation plans to ... review preparation to ensure contract compliance with Grant funding agency requirements ... and creates a monitoring and..

 
Company
**********
Location
Playa Vista, CA
Posted Date
May 09, 19
Info Source
Employer  - Full-Time   

Join our Compliance TeamThe opportunity:nThe global supply chain ... and conventions. A robust, pro-active compliance program is a key factor ... company. nAs part of Flexportu2019s compliance department, we will..

 
Company
**********
Location
El Monte, CA
Posted Date
May 16, 19
Info Source
Employer  - Full-Time   

Compliance Examiner: Monitor & investigate potential OFAC alerts to ensure OFAC compliance. BA/BS in global business, economics or related with 1.5 years experience as compliance examiner or related; 40 hours/week. recblid ..

 
Company
**********
Location
Los Angeles, CA
Posted Date
May 23, 19
Info Source
Employer  - Full-Time   

UnionBanc Investment Services, a wholly owned subsidiary ... and highly respected broker-dealer and investment advisor that has helped clients ... has helped clients reach their investment goals for more than..

 
Company
**********
Location
Woodland Hills, CA
Posted Date
May 23, 19
Info Source
Employer  - Full-Time   

... the MUFG Union Bank Americas Compliance Testing, Lending Compliance Testing Group (LCTG), this position ... to establish and execute regulatory compliance testing covering sales and origination ... Establish, design,..

 
Company
**********
Location
Los Angeles, CA
Posted Date
May 08, 19
Info Source
Employer  - Full-Time   

Investment Advisory Compliance Manager UBIS - Los Angeles','10027620-WD','!*! ... UBIS - Los Angeles','10027620-WD','!*! UnionBanc Investment Services, a wholly owned subsidiary ... and highly respected broker-dealer and investment advisor that has..

 
Company
**********
Location
Monterey Park, CA
Posted Date
May 17, 19
Info Source
Employer  - Full-Time   

Compliance Analyst - Officer MUFG Union ... financial group. Job Summary: Ensure compliance for a major business division, ... Communicate, coordinate and monitor regulatory compliance policies, systems and procedures for..

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