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Senior Compliance Officer jobs - Los Angeles, CA

Viewing 1 - 10 of 485 jobs

  • Senior Associate Risk Assurance Internal Audit Services(Healthcare) (6453423)

    PwC - Los Angeles, CA

    co-sourcing and Sarbanes-Oxley compliance services. We also provide IA Performance Improvement services including ... Internal Audit directors, Chief Compliance officers, Audit Committees and Risk Management personnel. Demonstrates...

    30+ days ago from PwC

  • Sr Testing Compliance Officer - Vice President

    Mitsubishii UFJ Financial Group - Woodland Hills, CA

    lines of business. The Senior Testing Compliance Officer will work with the lines of business and compliance peers ... Major Responsibilities: Strong testing/audit background related to regulatory compliance...

    30+ days ago from Mitsubishii UFJ Financial Group

  • Senior Personal Trust Administrator - Vice President

    Union Bank - Beverly Hills, CA

    Service Professional) CTCP (Certified Trust Compliance professional) CFSA (Certified Financial Service Auditor) AEP (Accredited Estate Planner) CSIP (Certified IRA Services Professional) CTFA (Certified Trust and Financial Advisor) CFP...

    30+ days ago from Union Bank

  • Compliance Licensing Manager FinTech Opportunity!

    Perkins Group - Los Angeles, CA

    170k; Senior Communications FPGA Engineer 135k + Stock; Senior Linux Developer 120k + Stock; Senior Test Automation ... Opportunity Our client is seeking a talented Compliance/Licensing Manager to oversee and execute Money Services Business...

    10 days ago from ZipRecruiter

  • Internal Audit Senior Associate (5394278)

    PwC - Los Angeles, CA

    co-sourcing and Sarbanes-Oxley compliance services. We also provide IA Performance Improvement services including ... Internal Audit directors, Chief Compliance officers, Audit Committees and Risk Management personnel. Demonstrates...

    30+ days ago from PwC

  • Sr. Officer Compliance, Front Office

    Financial Services and Communications Company - Los Angeles, CA

    programs for agents through transaction analyses, compliance reviews and training sessions Responsible for ... findings In addition to standard program reviews, the Sr. Compliance Officer will be assigned program reviews that are...

    5 days ago from IvyExec

  • Senior Compliance Officer-Management Control Assessment Manager BUSA

    Citigroup - Finance Industry - Los Angeles, CA

    Description The Management Control Assessment Manager will report into the BSA/AML Officer ... minimal supervision Ability to interface and partner with Compliance/AML/Control and businesses/functions across...

    18 days ago from VelvetJobs

  • Senior Compliance Analyst

    Judge Group - Los Angeles, CA

    valued community partnerships. Job Description: TITLE: senior compliance analyst – AML AND KYC NEMSJP00049274 Edge: ... required. Liaise with other FIU units, Advisory, Business Compliance teams, FIU Legal, GIU and relationship managers.

    1 day ago from ZipRecruiter

  • Sr Business Compliance Officer, Vice President

    Mitsubishii UFJ Financial Group - Brea, CA

    Compliance Program Management Office (PMO). The Sr. Compliance Officer responsibilities will include taking a senior ... and conducting compliance reviews, and coordinating compliance risk assessments. The Sr. Compliance Officer will also...

    30+ days ago from Mitsubishii UFJ Financial Group

  • Sr. Officer, Compliance - Front Office

    Financial Services and Communications Company - Los Angeles, CA

    will: Evaluate internal controls and anti-money laundering compliance programs for agents through transaction analyses, ... to draw conclusions regarding the status of an agents compliance program Excellent multi-tasking ability Highly...

    5 days ago from IvyExec

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