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





Job info
 
Company
**********
Location
Los Angeles, CA
Posted Date
Aug 20, 18
Info Source
Employer  - Full-Time   

The role of the Project Manager III is to plan, execute, and finalize Bank projects (Compliance/Regulatory and Finance related) according to timelines, milestone events and within budget. This includes acquiring resources, ..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Aug 28, 18
Info Source
Employer  - Full-Time   

... among the most generous. Global Investment Control directly supports Capital Group’s ... Control directly supports Capital Group’s Investment Professionals, implements investment decisions and facilitates the investment process. Operating from..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Sep 11, 18
Info Source
Employer  - Full-Time  90  

The Lead Lending Compliance Officer is responsible for managing ... assigned areas of the lending compliance program covering consumer, commercial, and ... lending, including monitoring business area compliance with applicable..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Oct 13, 18
Info Source
Employer  - Full-Time   

The Compliance Manager's primary duty is to ... ensure the company is in compliance with all laws, regulations and ... and regulatory guidance; oversee the compliance program by keeping track..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Oct 08, 18
Info Source
Employer  - Full-Time   

... Private Banking Unit with deposit-related compliance issues. Identifies risks and internal ... and operational activities are in compliance with company policies and procedures ... in a banking or deposit..

 
Company
**********
Location
Woodland Hills, CA
Posted Date
Oct 17, 18
Info Source
Employer  - Full-Time   

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2018) with total assets of over $2.9 trillion ..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Sep 23, 18
Info Source
Recruiter  - Full-Time   

... client is looking for a Compliance Associate – Integrated Solutions. The ... Associate – Integrated Solutions. The Compliance Associate is responsible to assist ... is responsible to assist the..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Oct 05, 18
Info Source
Employer  - Full-Time   

... Private Banking Unit with deposit-related compliance issues. Identifies risks and internal ... and operational activities are in compliance with company policies and procedures ... in a banking or deposit..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Sep 21, 18
Info Source
Employer  - Full-Time   

... Reporting to the VP Lending Compliance, the Sr. Compliance Officer is responsible for performing ... diversion for, certain offenses. ,employmentType:FULL_TIME,title:Sr. Compliance Officer - Modeling & Analytics, ... - Modeling..

 
Company
**********
Location
Woodland Hills, CA
Posted Date
Oct 15, 18
Info Source
Employer  - Full-Time   

Sr Compliance Officer in Woodland Hills California ... financial group. Job Summary: Ensure compliance for a group of assigned ... for a group of assigned compliance focus area(s), and communicate..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Oct 15, 18
Info Source
Employer  - Full-Time   

... financial group. Job Summary: Ensure compliance for a group of assigned ... for a group of assigned compliance focus area(s), and communicate this ... communicate this information to line..

 
Company
**********
Location
Pasadena, CA
Posted Date
Oct 16, 18
Info Source
Employer  - Full-Time  

... consultation with CEO & Chief Compliance Officer regarding all aspects of ... regarding all aspects of the Compliance Management System; assist with the ... assessment(s) and serve as a..

 
Company
**********
Location
Gardena, CA
Posted Date
Oct 17, 18
Info Source
Employer  - Full-Time   

HISPANIC SCHOLARSHIP FUND Position: Manager, Grants Compliance Reports to: Chief Marketing Officer Location: Gardena, CA Who We Are/What We Do Founded in 1975, the Hispanic Scholarship Fund empowers Latino families with ..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Sep 20, 18
Info Source
Employer  - Full-Time   

... Risk Management organization, Wells Fargo Compliance, and Wells Fargo Audit Services ... Wholesale Risk Program Owners and Compliance team The Wholesale RCSA and ... a strong risk mitigating and..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Oct 16, 18
Info Source
Employer  - Full-Time   

... and independent regulatory review and compliance oversight in the area of ... as second reviewer for OFAC compliance, independently reviewing, entering and comparing ... that may hinder an effective..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Oct 08, 18
Info Source
Employer  - Full-Time   

Responsibilities & Duties • Own key tasks and work streams in the SOX Compliance Program including, but not limited to, working with IT Departments and Business units to obtain key data ..

 
Company
**********
Location
Beverly Hills, CA
Posted Date
Sep 11, 18
Info Source
Employer  - Full-Time   

... and processing of the Schwab Compliance Technologies system. Monitor and research ... of SCT procedures to ensure compliance and to identify areas of ... to all SCT users, CCO's,..

 
Company
**********
Location
Studio City, CA
Posted Date
Sep 29, 18
Info Source
Employer  - Full-Time   

Full Time Job Compliance Auditor - Temporary The challenging and rewarding Compliance Auditor in our Audit and Collections department incorporates the blending of accounting, investigation and data management skills. Qualifications: • ..

 
Company
**********
Location
Glendale, CA
Posted Date
Sep 21, 18
Info Source
Employer  - Full-Time   

... reports to the Director Retail Compliance. The Written Supervisory Procedures Compliance Specialist is responsible for ensuring ... of the Broker-Dealer and the Investment Advisor. Major Responsibilities: Pursuant to .....

 
Company
**********
Location
Beverly Hills, CA
Posted Date
Sep 25, 18
Info Source
Employer  - Full-Time   

... FunctionResponsible for the regulatory and compliance issues relating to all of ... trust and fiduciary businesses, registered investment advisor, proprietary mutual funds, and ... will also have oversight for..

 
Company
**********
Location
Los Angeles, CA
Posted Date
Oct 10, 18
Info Source
Recruiter  - Full-Time   

... great opportunity for a Trade Compliance Specialist within a Technology and ... year’s holiday.n nJob Title: Trade Compliance Specialistn nJob Description:nCorporation is a ... to join the company’s Trade..

 
Job title
GRANTED JOB
Company
**********
Location
Los Angeles, CA
Posted Date
Sep 20, 18
Info Source
Recruiter  - Full-Time   

Senior Compliance Associate – Alternative Investments and ... Investments and Hedge Funds The Compliance Search Group in Los Angeles ... are searching for a Chief Compliance Officer on behalf of..

 
Job title
GRANTED JOB
Company
**********
Location
Los Angeles, CA
Posted Date
Sep 22, 18
Info Source
Recruiter  - Full-Time   

... of the company. Wells Fargo Compliance is the company’s compliance second line of defense function, ... regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo..

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