- LA Care Health Plan (Los Angeles, CA)
- Compliance Advisor III Job Category: Administrative, HR, Business Professionals Department: Compliance Location: Los Angeles, CA, US, 90017 Position Type: ... net required to achieve that purpose. Job Summary The Compliance Advisor III ensures that the Plan's...and/or project management experience. At least 2 years of regulatory change, policy , or risk management experience… more
- Bank of America (Los Angeles, CA)
- …for the Advisor Development Program (ADP), you will:** + Provide regulatory supervision and oversight to advisors + Ensure ADP participants are meeting and ... Market Leader - Advisor Development Program Los Angeles, California **Job Description:**...require heightened support to achieve success + Help reinforce compliance , supervision, and provide risk management support of ADP… more
- Citigroup (Los Angeles, CA)
- …through converting referral leads . Manage client follow-up and adhere to all Regulatory and Compliance operating procedures . Ensure strict adherence to KYC/AML ... " poster. View the EEO is the Law Supplement (https://www.dol.gov/sites/dolgov/files/ofccp/regs/ compliance /posters/pdf/OFCCP\_EEO\_Supplement\_Final\_JRF\_QA\_508c.pdf) . View the EEO Policy Statement… more
- M&T Bank (Los Angeles, CA)
- …as all available products/services to clients and prospects. + Develop Individual Policy Statement (IPS) with and for client including annual reviews and updates. ... informational meetings maintaining market, process and platform. Complete all compliance requirements including annual account reviews. Complete annual Regulation 9… more
- Wells Fargo (Woodland Hills, CA)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... . **In this role you will:** + Assist Financial Advisor (s) colleagues with service and operational related activities such as… more
- Wells Fargo (Beverly Hills, CA)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... . **In this role you will:** + Assist Financial Advisor (s) with sales, service, and operational related activities such as… more
- Bank of America (Beverly Hills, CA)
- …business objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory , financial, and ... + Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize risk + Coach… more
- Bank of America (Los Angeles, CA)
- …business objectives and contributes to market profitability by influencing Private Wealth Advisor business practices in ways that minimize regulatory , financial, ... our Private Wealth advisors, and clients to ensure full compliance with laws, and policies while focusing on the...partnering with the Regional Managing Director and coaching the Advisor . Their functions are related to the Regional Managing… more
- Wells Fargo (Los Angeles, CA)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... **In this role, you will:** + Act as an advisor to senior leadership to develop or influence Treasury...skills + Strong presentation skills **Job Expectations:** + Specific compliance policies may apply regarding outside activities and/or personal… more
- Snap Inc. (Los Angeles, CA)
- …products and technologies + Work with legal and business colleagues to develop regulatory compliance strategies and AI governance initiatives. + Help scale the ... The Legal & Policy Team is Snap's dedicated in-house law firm, policy consultant, lobbyist, thought partner, and all-around advisor . This team helps Snap… more
- Snap Inc. (Los Angeles, CA)
- …products and technologies + Work with legal and business colleagues to develop regulatory compliance strategies. + Help scale the legal organization by ... . The Legal & Policy Team is Snap's dedicated in-house law firm, policy consultant, lobbyist, thought partner, and all-around advisor . This team helps Snap… more
- City National Bank (Los Angeles, CA)
- …oversight and challenge to ensure effective implementation of Operational Risk practices in compliance with regulatory and policy requirements. ORM is also ... procedures that facilitate an effective ORE program. * Review procedures for completeness, compliance and adequacy * Manage metrics to assess risk, compliance … more
- City National Bank (Woodland Hills, CA)
- …offering, particularly those catered to Preferred, personal, or small business clients. * Regulatory / Compliance - strong understanding of the regulatory ... personal clients. They will act as a trusted strategic advisor , providing financial advice & consistently connecting client needs...and Credit policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client,… more
- Wells Fargo (Long Beach, CA)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... general trust administration, specialty trusts, custody, tax, specialty assets, regulatory , privacy, ecommerce, deposit relationship and strategy, and business… more
- Citigroup (Los Angeles, CA)
- …to be considered, and seeks or grants approvals as appropriate. + Ensure compliance on regulatory requirements and minimizes any potential liability for Citi. ... " poster. View the EEO is the Law Supplement (https://www.dol.gov/sites/dolgov/files/ofccp/regs/ compliance /posters/pdf/OFCCP\_EEO\_Supplement\_Final\_JRF\_QA\_508c.pdf) . View the EEO Policy Statement… more
- Aveanna Healthcare (Seal Beach, CA)
- …to day-to-day management of employees to reduce legal risks and ensure regulatory compliance . Partners with Leadership as needed/required. + Works closely ... over a broad range of human resource-related issues, acting as resource and advisor to our employees and managers, and as liaison to other Aveanna departments… more
- Citigroup (Los Angeles, CA)
- …through converting referral leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other ... " poster. View the EEO is the Law Supplement (https://www.dol.gov/sites/dolgov/files/ofccp/regs/ compliance /posters/pdf/OFCCP\_EEO\_Supplement\_Final\_JRF\_QA\_508c.pdf) . View the EEO Policy Statement… more
- Citigroup (Studio City, CA)
- …through converting referral leads + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures. + Ensure that KYC/AML and other ... " poster. View the EEO is the Law Supplement (https://www.dol.gov/sites/dolgov/files/ofccp/regs/ compliance /posters/pdf/OFCCP\_EEO\_Supplement\_Final\_JRF\_QA\_508c.pdf) . View the EEO Policy Statement… more
- KBR (El Segundo, CA)
- …lifecycle and associated processes to include legal practices, policy , and regulatory development, review, and compliance to support the Hemisphere program. ... future concept development, and integration activities -Serves as a technical advisor and assists the Government on cost, schedule, and performance matters… more
- BMO Financial Group (Los Angeles, CA)
- …and repayment strategies. - Structure and negotiate complex deals, ensuring compliance with regulatory requirements. - Collaborate with internal stakeholders, ... credit decisions/recommendations in accordance with sound credit-granting principles and in compliance with Bank Policy & Procedures. Works with stakeholders… more