Compliance Officer Jobs in California
1 - 15 of 27
Search Results - Compliance Officer Jobs in California
Tamar Securities, LLC-Los Angeles
About the Company
Tamar Securities is an SEC & FINRA-registered wealth management firm located in Woodland Hills, CA.
About the Role
The Compliance Officer supports the firm’s compliance program in partnership with an external Chief Compliance...
Yale New Haven Health-Norwalk
OverviewOverview: To be part of our organization, every employee should understand and share in the Yale New Haven Health System Vision, support our Mission, and live our Values. These values - integrity, patient-centered, respect, accountability,...
mindmatch.ai -
Casa Familiar, Inc.-San Diego
Casa Familiar
Chief Operating and Compliance Officer
Mission Statement: The mission of Casa Familiar is to enhance the quality of life for people living in underserved and underrepresented communities. Casa Familiar Values: Integrity, Respect...
Allocator One Group-San Francisco
will depend on our compliance infrastructure. You are not a compliance checker; you are the designer of the entire regulatory operating system for a European platform entering the most complex financial markets in the world.
You will own SEC registration...
join.com -
Cardea Group-Hayward
Chief Compliance Officer / Deputy General Counsel: Our client, a leading private investment firm is seeking a CCO/DGC to take ownership of its compliance function. This is a highly visible, high-priority hire with direct exposure to senior...
9 similar jobs: San Jose, San Francisco, Alameda, Santa Rosa, Sunnyvale...
Casa Familiar, Inc.-San Diego
Casa Familiar
Chief Operating and Compliance Officer
Mission Statement: The mission of Casa Familiar is to enhance the quality of life for people living in underserved and underrepresented communities. Casa Familiar Values: Integrity, Respect...
Research Affiliates-Newport Beach
DESCRIPTION:
We are seeking an experienced legal and compliance professional to join our team, supporting all aspects of our index and investment management operation. The ideal candidate will provide strategic legal counsel, support our regulatory compliance...
IDE Technologies-Carlsbad
officials and/or compliance officers is required.
• Proven ability to prioritize and set clear objectives when faced with conflicting demands.
• Ability to translate, statistically analyze data, and effectively report problems through written...
Family and Child Empowerment Services - San Francisco-San Francisco
enrichment; job support, training, and placement; and comprehensive family support services and referrals.
Position Summary
FACES seeks a Chief Finance & Compliance Officer (CFCO) that is responsible for financial and compliance leadership, strategy...
appcast.io -
Gardena (CA)
SAR) form and narrative once it has been approved by the Compliance Officer.
• Ensure all SAR filings are e-filed via the BSA website.
• Maintain hard-copy files of all BSA transmissions and documents required by IRS auditors readily available.
• Assist...
icims.com -
The Symicor Group-Ontario
BSA Compliance Officer – To $105K – Ontario, CA – Job # 3758
Who We Are
The Symicor Group is a boutique talent acquisition firm based in Schaumburg, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best...
workable.com -
Fernridge Group-San Francisco
team. This role will report to the Deputy Chief Compliance Officer and work closely with the CCO/CFO. The successful candidate will play a key role in managing the day-to-day operations of the compliance program and enhancing the firm’s regulatory...
9 similar jobs: Santa Rosa, Alameda, Sonoma, Fremont, San Mateo...
Grip Invest-Delhi (CA)
resolutions, and minutes of meetings.
• Advise the Board on corporate governance practices and ensure adherence to applicable regulations.
Corporate Governance:
• Act as a compliance officer for matters related to corporate governance.
• Provide advice...
jobvertise.com -
FutureSight-San Francisco
The Opportunity
Compliance at U.S. RIAs, broker-dealers, and wealth fintechs still runs largely on manual review — analysts reading marketing materials line by line, scanning communications for keywords, and reviewing trades and trade requests...
workable.com -
Evolve Talent Partners-San Francisco
to the group’s ability to develop, drive, and execute its own team-specific goals and objectives as well as assist in the execution of overall Company goals.
The Legal and Compliance Associate will report to the General Counsel and Chief Compliance Officer...
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