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Compliance Officer Jobs in California

1000+ jobs

JOB SUMMARY The Compliance Officer reports to the Executive Director/VP Finance and is responsible for reviewing and evaluating procurement compliance issues/concerns within the organization. This position is also responsible for developing, administering and monitoring Long Beach Transit’s (LBT) Disadvantaged Business Enterprise (DBE) program under the direction of the Chief Executive Officer an...

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...

Rabobank, N.A. has an exciting opportunity for a Compliance Officer in our Roseville Executive Offices! The incumbent will be responsible for the implementation, oversight and ongoing support of the Bank’s Compliance Program for all subject matters under the purview of the Corporate Compliance Division (excluding BSA). The Compliance Officer function within Compliance Policy & Support includes per...

Compliance Officer/Director of Audit Universal Bank is currently seeking an experienced Compliance Officer / Director of Audit to join our team in West Covina, CA. Job Description: Under general direction, oversee the Bank's Compliance Programs to identify, measure, control and monitor compliance risk. It is the responsibility of the bank compliance officer to ensure that everyone working in a ...

POSITION SUMMARY The Business Unit Compliance Officer (“BUCO”) is responsible for an ongoing, comprehensive and effective structure of internal controls to mitigate compliance risk in assigned areas of responsibility, and to assure adherence with applicable laws, rules and regulations. A BUCO is also responsible to lead, develop and train Bank employees regarding specific internal processes and c...

Do you believe in providing exceptional service? Are you passionate about working in a team environment? Do you take ownership to deliver the best? If you answered yes to these questions, then Western Federal Credit Union is the place for you! Western is seeking an experienced, creative, and motivated BSA/AML Compliance Officer to direct and oversee all aspects of the Credit Union’s Bank Secrecy...

Company Confidential
Compliance and Risk Manager/MLRO: Los Angeles, California International Currency Exchange (ICE) is one of the subsidiaries of the UK based Lenlyn Group of Companies and is one of the world’s largest providers of Foreign Exchange and travel related financial services. Our customer base spans throughout the globe in 20 countries across 4 continents with over 400 branches at most major airports and ...

Aerojet Rocketdyne offers a complete line of propulsion products for launch vehicles, missile defense, and advanced hypersonic propulsion. These include the Delta launch vehicles, J2-X engine, and the RS-68 engines. We are currently seeking a Manager to join our Security team in Canoga Park, California. This manager plans, schedules, supervises, and organizes all activities involved in implementi...

Qualifications Required Experience: Internal audit, credit review, compliance, or regulatory experience Polished technical skills including demonstrated ability to analyze large sets of data and effectively translate results verbally and visually through tables, charts, graphs and other technique Attention to detail coupled with strong organizational skills Ability to perform under pressure a...

First Republic Investment Management (FRIM) is an RIA with an affiliated BD (First Republic Securities Company LLC) and a wholly owned subsidiary of First Republic Bank. The Compliance Department provides advice and guidance to our business partners regarding the applicability of rules and regulations, advice on policies, procedures and controls, compliance monitoring and assistance with superviso...

Requisition Number 15-0219 Post Date 8/3/2015 Title FA RIA Chief Compliance Officer City San Diego State CA Description Uses extensive knowledge and skills in securities and investment advisory compliance obtained through education, experience, specialized training and/or certification to assist in the design, implementation and supervision of a comprehensive compliance and surveillance progr...

POSITION SUMMARY The Compliance Officer is responsible for oversight responsibility of the compliance and integrity program for Martin Luther King, Jr Community Hospital and all related entities (MLKCH). As a result, this position has direct access to the Board of Directors for the purpose of advising and making recommendations to the Board about regulatory compliance issues. The compliance offic...

What sets Bank of the West apart from other banks is our team members–they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of more than 10,000 employees is vital to the success of our Bank. They reflect our modern western values—straightforward, entrepreneurial and optimistic. We seek to create a corporate culture that fosters and rewards excell...

What sets Bank of the West apart from other banks is our team members–they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of more than 10,000 employees is vital to the success of our Bank. They reflect our modern western values—straightforward, entrepreneurial and optimistic. We seek to create a corporate culture that fosters and rewards excell...

As an economic development of the San Manuel Band of Mission Indians (“Tribe”) pursuant to the Indian Gaming Regulatory Act, the San Manuel Indian Bingo & Casino (SMIBC) generates revenue used to maintain governmental operations, provide for the general welfare and healthcare needs of the Tribe, supply infrastructure needs such as roads, and to support continued economic development. Attracting ov...

First Republic Investment Management (“FRIM”) is an RIA with an affiliated Broker Dealer (First Republic Securities Company LLC, “FRSC”) and a wholly owned subsidiary of First Republic Bank. The Compliance Department provides advice and guidance to our business partners regarding the applicability of rules and regulations, advice on policies, procedures and controls, compliance monitoring and assi...

Qualifications Required Education Bachelor’s Degree in Business Administration or related field Desired Experience and Skills 2-3 years of functional/professional experience in Compliance/Audit/Testing/Risk Management Proficient with Microsoft Excel/PowerPoint/Word Great writing and presentation skills Demonstrates a “team player” mentality Willingness to learn, and motivated to progress i...

GENERAL SUMMARY Responsible for compliance functions and some customer service needs of the Wealth Management Department. Provide knowledge, skill and specialized support to areas involving employee administration, staff development as well as the service driven sales culture of the wealth management team. Ensure regulatory compliance and staff adherence to Bank policies and procedures. Establish...

IMMEDIATE NEED AND WILL RELOCATE!!! Responsible for managing and executing Compliance Reviews including: formal examination programs designed to assess the effectiveness of the regulatory compliance programs and adherence, project planning, Compliance Review execution, and any needed follow-up to ensure remediation of any identified regulatory weaknesses. Position Responsibilities: Designs, Plan...