Compliance Officer Jobs in California

1000+ jobs

Regional Compliance Officer: Centaurus Financial, Inc. is a full service broker/dealer and registered investment advisor catering to the independent investment professional. We are currently seeking a registered securities principal to join our Compliance Department in Anaheim, CA as a Regional Compliance Officer supporting branches throughout the United States. We offer an opportunity for a moti...

Compliance Officer Mission Federal Credit Union, Mira Mesa To learn more and apply online, visit: https://www.missionfed.com/about-us/careers SUMMARY: Administers, directs, and supervises allareas of regulatory compliance, excluding the Bank Secrecy Act. Develops and maintains a compliance program to ensure the credit union meets regulatory requirements in all assigned areas. Serves as Mission ...

Job Title Compliance Officer Job Description East West Bank is one of the largest independent banks headquartered in California serving consumers and businesses throughout the U.S. and Greater China. With over 130 locations worldwide including California, Texas, New York, Georgia, Massachusetts, Nevada, Washington, and Greater China – East West Bank is committed to helping their customers’ enterp...

The Compliance Officer will be a member of the Regulatory Compliance team within the Legal and Compliance Department at PIMCO’s headquarters in Newport Beach, CA. The Compliance Officer is responsible for working with the Regulatory Compliance team to facilitate PIMCO’s compliance program. The candidate will primarily be responsible for assisting with the implementation of the compliance requireme...

Description: We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live a...

Description: We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live a...

The ideal candidate will have the following attribute: College degree or equivalent required. Post-graduate degree a plus. Professional degrees (MBA, law degree) preferred. 7 of previous employment with a large financial institution (or within the financial services practice of a Big 4) required Experience in AML, compliance, and banking functions Some experience in operations areas: project m...

Senior Compliance Officer- BUSA AML Program Officer-14056200 Description Banamex USA (BUSA) provides full banking services for companies and individuals that do business in Mexico and the United States. As part of Citigroup, Banamex USA is the U.S. banking arm of Banco Nacional de Mexico (Banamex), Mexico's premier bank. For corporate and individual customers alike, Banamex USA is the gateway to...

About the Position This position provides support to the Compliance Department by ensuring agents are in compliance with section 352 of the USA PATRIOT Act, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and internal policies and procedures. Conducts assessments of agent’s compliance program and provides AML training to agent and its employees. Serves as an active ...

The Compliance Specialist under the direction of the Compliance Officer proactively supports the Credit Union’s compliance program, objectives and initiatives; assists with ensuring conformity to the various existing, and revisions to: applicable rules, regulations and statutory requirements. The Compliance Specialist I will assist with monitoring, analyzing, and communicating information on chang...

The Health Plan of San Mateo (HPSM), a managed care health plan, seeks a full time Compliance Investigator to conduct investigations of potential non-compliance issues including Fraud, Waste, and Abuse (FWA) or HIPAA non-compliance, ensure appropriate internal reports are completed in a timely manner, and submit reports to the Compliance Officer for official reporting to regulatory agencies as app...

The Health Plan of San Mateo (HPSM), a managed care health plan, seeks two full time Compliance Auditors to schedule, coordinate, and conduct internal audits as assigned and serve in a consulting capacity to HPSM staff in assisting them to be in compliance with regulations and program requirements. With the supervision, direction, and oversight of the Compliance Officer/Director of Regulatory Affa...

DUTIES Along with the Compliance Officer, Privacy & Information Security Officer, and the Compliance Program Manager, the Senior Compliance Advisor, State Programs serves as the focal point for all Medi-Cal, Covered California and Healthy Families compliance activities. Coordinates and communicates all assigned state program compliance activities internally and with L.A. Care's contracted provide...

Since 1991, our clientele of home owners, home buyers, agents and brokers, lenders, servicers, investors and financial professionals have come to depend on the Peak Corporate Network entities to provide the expertise, services and dynamic solutions to meet all of their real estate needs. We bring creative ideas and solutions to our clients along with a shared culture of information thus allowing u...

Our mission is TO INSPIRE WOMEN TO BE INSPIRATIONAL; to feel beautiful, confident and empowered. Founded in 1989, BCBGMAXAZRIA GROUP is the lifetime vision of Max Azria: Founder, Designer, Chairman and Chief Executive Officer. After years of success designing women’s wear in Paris, Azria decided to pursue his dream of launching a design house that spoke to the modern woman, and BCBGMAXAZRIA was ...

The Director of Risk Management and Compliance is the responsible for overseeing and managing all regulatory compliance issues, clinical risk management, including medical mal-practice risk management within Satellite Healthcare (SHC). The Director is also responsible for managing all other aspects of risk management including all insurance coverage for SHC. The Director oversees the corporate com...

Rabobank, N.A. has an exciting opportunity for a Auditor Senior - Compliance in our Roseville Executive Offices! This position performs audits to assess the overall operational efficiency of Rabobank, N.A.'s Branches and Administrative Support units. The audits assigned to the Auditor Senior are usually of a more complicated nature than those assigned to less experienced audit personnel and genera...

Rabobank, N.A. has an exciting opportunity for a Auditor Senior - Compliance in Santa Maria, or Roseville, CA! This position performs audits to assess the overall operational efficiency of Rabobank, N.A.'s Branches and Administrative Support units. The audits assigned to the Auditor Senior are usually of a more complicated nature than those assigned to less experienced audit personnel and generall...

The general purpose of this position is to participate in the development and administration of FRSC’s broker-dealer Compliance Program. This role as a generalist will support core compliance functions such as surveillance and oversight, manual updates, regulatory filings and disclosures, management reporting and compliance training. RESPONSIBILITIES AND DUTIES: Employee Activity Monitoring and ...

At Realty ONE Group we believe that happy employees are productive employees. We mix as much fun as possible into our work, from our unofficial ping pong tournaments to our motorized scooter office races. We want your enthusiasm, motivation and zest for life to join our collaborative group of professionals and help further our endeavor to create a real estate brokerage built for the future. ESSE...