| Job alert | Jobs 11 - 20 of 154 |
Compliance Surveillance Associate
TCW
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Los Angeles, CA, 90071
... Prior experience with registered investment advisers, registered investment companies, broker-dealers, and/or SEC or FINRA. Professional Skills Qualifications Must have outstanding attention to detail and organization skills, possess the ability to ... - Sep 05
Director of Fraud Operations (Remote)
Sumitomo Mitsui Banking Corporation (SMBC)
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Los Angeles, CA, 90079
... movement, disputes, chargebacks, AML, and compliance frameworks such as KYC/CIP In-depth knowledge of the financial services/banking regulatory environment: FACT Act, Bank Secrecy Act, Suspicious Activity Reporting (SARs), Reg E, FINRA/SEC, etc. ... - Sep 26
Accounting Manager
Consultative Search Group
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Century City, CA, 90067
... Responsibilities can include the following: SEC Reporting, M&A transactions, Finance, ERP implementation, SOX, and internal audit. Ideal candidate will have 3+ years of public accounting experience and 2+ years of private industry experience. ERP ... - Sep 10
Financial Aid Advisor
Glendale Career College
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City Center, CA, 91203
22USD - 25USD per hour
... A supportive and inclusive work environment.Company Description Success Education Colleges (SEC) is a family of institutions comprised of North-West College, Glendale Career College, Marsha Fuerst School of Nursing, and Nevada Career Institute. SEC ... - Sep 28
Regulatory Compliance Officer
TCW
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Los Angeles, CA, 90071
... Essential Duties Have a strong understanding of SEC, CFTC, FINRA and other relevant regulatory rules, regulations and guidelines as it pertains to marketing and advertising, especially the SEC’s new marketing rule; Review marketing presentations and ... - Sep 25
ASSISTANT BOOKING MANAGER (MARKETING)
City of Torrance, CA
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Torrance, CA, 90504
... Health, Dental, Vision and Life Insurance (sec.3.1) The City's monthly contribution for health insurance is as follows: EE Only EE +1 EE +2 or more Full time EE's 597.68 1140.36 1595.96 Part- time (hired prior to 1/1/08) 468.87 913.40 1175.08 Part ... - Sep 24
Senior Network Engineer
INSPYR Solutions
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Burbank, CA
... Science, Information Technology, Network Engineering or Electrical Engineering Certifications (JNCIA-Junos, JNCIA-MistAI, JNCIA-SEC, ACE-A, PCCSA, PCNSA, PCNSE, CCNA, CCNP, BIG-IP, DDI Professional) Preferred Qualifications: Experience working on ... - Sep 24
Department Clerk/Front Counter Assistance
Barrington Staffing Services
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Burbank, CA
22USD per hour
... SEC. 189.04. NOTICE AND POSTING REQUIREMENTS FOR EMPLOYERS. A. Employers shall state in all solicitations or advertisements seeking Applicants for Employment that the Employer will consider for employment qualified Applicants with Criminal Histories ... - Sep 28
White Collar Partner
Boardroom Appointments
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Los Angeles, CA
... Negotiations and Settlements: Engage in negotiations with government agencies, such as the Department of Justice (DOJ) or Securities and Exchange Commission (SEC), to reach settlements or plea agreements. Aim for favorable outcomes while protecting ... - Sep 28
CFO
Cesna - Recruitment experts worldwide
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Los Angeles, CA, 90079
... Job Summary: Regulatory Leadership: Oversee the filing of necessary documents, including financial statements, for Reg A offering with the SEC. Hold a regulatory leadership role in a Reg A Series LLC & Broker-Dealer Company. IPO Experience: Lead the ... - Sep 26