Latest Regulatory Compliance jobs in Newport Beach, CA

152 Regulatory Compliance Jobs in Newport Beach, CA

Compliance Associate Madison-Davis, LLC - Newport Beach, CA, United States and initiatives. • Support the periodic review and distribution of compliance policies and procedures. • Maintains professional and technical knowledge by researching regulatory changes. • Assist with FINRA WebCRD 9 days ago
Code of Ethics Compliance Analyst Ultimate Staffing - Newport Beach, CA, United States : Reviewing employee personal trades for potential conflicts with firm trades Conducting daily personal trading conflicts of interest reviews and issuing compliance violations as necessary Facilitating 6 days ago
SVP, Compliance Officer PIMCO - Newport Beach, United States Program Development: Collaborate with global Compliance Department members to enhance and ensure consistency of the investment adviser compliance program Regulatory Review and Risk Assessment: Lead Competitive 4 days ago
Director of Finance And Operations Lusso Cloud - Newport Beach, CA, United States reporting, to ensure accuracy and compliance with regulatory requirements. Prepare and present financial statements, reports, and analysis to senior management and board of directors, providing insights 7 days ago
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QC Manager BluePoint Mortgage - Newport Beach, CA, United States such as Fannie Mae, Freddie Mac, FHA, VA. Conduct regular audits and reviews of loan files to ensure accuracy and compliance with investor guidelines, regulatory requirements, and agency guidelines. Identify 22 days ago
Relationship Manager II City National Bank - Newport Beach, California knowledge of CNB’s offering, particularly those catered to Preferred, personal, or small business clients. Regulatory / Compliance – strong understanding of the regulatory environment CNB operates 9 days ago
Radiation Safety Officer/Physicist Hoag Health System - Newport Beach, CA, United States and to ensure that x-ray and other diagnostic imaging equipment meet regulatory compliance standards and are safe to operate. Performs and documents periodic radiation safety and calibration surveys of all CT 23 days ago
Code of Ethics Compliance Consultant INSPYR Solutions - Newport Beach, California employee personal trades for potential conflicts with firm trades. Complete daily personal trading conflicts of interest reviews and issue compliance violations, as necessary Facilitate regulatory filings 13 days ago
Senior Client Associate Rockefeller Capital Management - Newport Beach, California and reports for client meetings · Attend client meetings as necessary and present client performance · Complete necessary filing and maintain client files · Attend compliance and continuing education training 18 days ago
MEDICAL RADIATION PHYSICIST SR - RADIOLOGY ADMINISTRATION Hoag Memorial Hospital Presbyterian - Newport Beach, CA, US and to ensure that x-ray and other diagnostic imaging equipment meet regulatory compliance standards and are safe to operate. Performs and documents periodic radiation safety and calibration surveys of all CT More than 30 days ago

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