Compliance Officer Jobs in California

Amada Senior Care - San Clemente, CA, United States

Job Description: General Counsel, Chief Compliance Officer, and Corporate Secretary REPORTS TO: Ownership Group SUPERVISES: Paralegal FLSA STATUS: Exempt At AMADA Senior Care, we seek to enrich

from: linkedin.com - 4 days ago

Realta Wealth - San Diego, CA, United States

POSITION REPORTS TO: Kevin Keefe, CEO of Realta Wealth POSITION TITLE: Chief Compliance Officer LOCATION: San Diego, CA COMPANY DESCRIPTION: Realta Wealth Registered in 50 states plus DC and Puerto

from: linkedin.com - 9 days ago

City of La Quinta, CA

Description The City of La Quinta is excited to announce a Code Compliance Officer opening in the Public Safety Department. The Code Compliance Officer position may be the right fit $59,197.15 - $83,089.21 Annually

from: Governmentjobs.com - 2 days ago

Forge - , CA, United States

We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the Soho, NY area. This is a critical...

from: linkedin.com - 7 days ago

JW Michaels & Co. - , CA, United States

- MNPI exp, new marketing rules, fund formation, fund structuring. - Targeting 10+yrs exp.

from: linkedin.com - 20 days ago

PIMCO - Newport Beach, United States

Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional... Competitive

from: efinancialcareers.com - Yesterday

iNtegrity - Sacramento, CA, United States

potential suspicious activity. Conduct and review internal SAR investigations and prepare summaries and recommendations for presentation to the BSA Compliance Officer. Audit Currency Transaction Report (CTR

from: linkedin.com - 5 days ago

Kerwin Associates - San Francisco, CA, United States

; Support corporate-related tasks, such as insider trading compliance, drafting compliance certificates, advising on director & officer matters, etc.; and Provide general advice and counsel to business

from: linkedin.com - 7 days ago

Allspring Global Investments - Charlotte, NC / Los Angeles, CA / San Francisco, CA / 2 more...

. model delivery, discretionary trading, etc.). Reporting into the Chief Compliance Officer of Allspring Funds Management, LLC, the Senior Compliance Analyst will primarily support the Compliance program

from: milwaukeejobs.com - 9 days ago

JCW - , CA, United States

Position Overview: JCW is partnering with an Industrial Bank who is looking for a Compliance Officer to join their team. The Compliance Officer will play a critical role in ensuring that operations

from: linkedin.com - 23 days ago