27 Investment Compliance Jobs in Santa Ana, CA
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Structured Credit Services Specialist - Vice President Deutsche Bank - Santa Ana, United States Vehicles (SPVs) Produce monthly/quarterly investor reporting packages. Must have intimate knowledge of all issued reports Communicate with underwriters, investment managers, rating agencies and bondholders salary range for this position in California is $130,000 to $200,000 27 days ago
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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 6 days ago
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Experienced Financial Professional New York Life Insurance Company - Anaheim, CA, United States general securities, agent state law, investment advisory licenses, compliance history, production standards, and required training. Requirements are subject to change. 6. Based on 2022 company data 10 days ago
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Analyst, Investment Guideline Compliance (Newport Beach) PIMCO - Newport Beach, United States & Compliance department managing investment guidelines in PIMCO's proprietary compliance system. The Guidelines Team is responsible for interpreting and implementing client, regulatory, and internal guidelines Competitive 15 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 19 days ago
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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 21 days ago
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Analyst, Trade Compliance (Newport Beach) PIMCO - Newport Beach, United States and equity trades, on a pre and post trade basis, to ensure compliance with applicable restrictions. The Analyst will have broad exposure to the entire Investment Guideline Compliance process. Individuals Competitive 14 days ago
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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 25 days ago
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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 19 days ago
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Director of Finance Henkels & McCoy - Pomona, California environment. Experience with financial modeling, scenario analysis, and capital investments. Knowledge of regulatory requirements and compliance. Experience with JD Edwards or other financial systems and tools 5 days ago
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