Latest Investment Compliance jobs in Laguna Niguel, CA

16 Investment Compliance Jobs in Laguna Niguel, CA

Accounting Manager (Mostly Remote) Robert Half - Irvine, CA, United States Perform weekly/monthly cash projections for rolling 15 months, including cash payments for investment hires, M&A and share repurchases. Prepare lender compliance calculations, certifications and related 3 days ago
Private Wealth Analyst DJM Financial | Northwestern Mutual Private Client Group - Irvine, CA, United States of the firm. May rely on technical experts within the firm to help develop planning recommendations. • Attend approximately 3+ client meetings per week with primary advisor. • Ensuring investment and insurance 6 days ago
Senior Associate, Alternatives Fund Finance (Private Equity) PIMCO - Newport Beach, United States multiple strategies and multiple vehicle types (hedge fund and private equity). The Alternatives Funds Finance Team leads the overall financial accounting and control, tax structuring and compliance Competitive 2 days ago
Chief Financial Officer The Hiring Advisors - Irvine, CA, United States planning and annual action definition, aiming at defining, monitoring and reaching the goals for the company Responsible for the planning and control of the cash flow, financial investments, support 12 days ago
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Account Services Manager Chamberlain Group Financial Services - Irvine, CA, United States with advisors, investment partners and the compliance department. Client data management – keep data management systems (including CRM) up to date with current client information. Client Service Management 25 days ago
Chief Investment Officer(CIO) Partner(s) -- Remote | WFH Get It Recruit - Finance - Irvine, California planning, forecasting, and budgeting processes to optimize financial performance across all projects. Risk Management: Identify and mitigate financial risks associated with investments, ensuring compliance 6 days ago
Financial Services Professional New York Life Insurance Company - Irvine, CA, United States state law, investment advisory licenses, compliance history, production standards, and required training. Requirements are subject to change. 3. Based on 2022 company data for 7,603 agents operating 27 days ago
Code of Ethics Compliance Analyst Ultimate Staffing - Newport Beach, CA, United States and monthly data uploads Contributing to the personal trading system's development life cycle, including testing system changes and providing business sign-off Managing the quarterly compliance certification 25 days ago
Code of Ethics Compliance Consultant INSPYR Solutions - Newport Beach, California broker feed, monthly data uploads) Contribute to personal trading system's development life cycle (e.g., test system changes to provide business sign-off) Manage quarterly compliance certification launch 7 days ago
Accounting Manager CB Partners, LLC - Lake Elsinore, CA, United States . Job Responsibilities: Oversee and coordinate all financial activities and personnel Set controls and budgets to mitigate risk and increase return on investments Standardize and maintain a system of accounting records 19 days ago

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