Sec Compliance Manager jobs in Los Angeles, CA

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Manager - Wealth Management
Aspiriant - Los Angeles, CA 90025
Aspiriant is an Equal Opportunity Employer, and is in compliance with San Francisco’s “Fair Chance Ordinance” (FCO)....
Senior Audit Accountant
SingerLewak LLP - 5 reviews - Irvine, CA 92614
Our core services deliver results whether it’s auditing, accounting, entrepreneurial business services, tax preparation, business management, SEC filings and...
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Senior Staff Auditor-Financial Services
Crowe Horwath - 104 reviews - Sherman Oaks, CA 91403
SEC experience preferred. Crowe Horwath is seeking a dynamic Senior Staff Auditor....

Manager, Investment Advisory Compliance Unit

Jackson National Life Insurance Company - 46 reviews - El Segundo, CA 90245
Manager, Investment Advisory Compliance Unit. Strong knowledge of FINRA, SEC and state regulations. Ensures unit maintains compliance with books and records...

Complex Risk Officer

Morgan Stanley - 1,879 reviews - Los Angeles, CA
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. Focuses on business ethics and regulatory and compliance practices....

PWM Complex Risk Officer

Morgan Stanley - 1,879 reviews - Los Angeles, CA
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. Focuses on business ethics and regulatory and compliance practices....

Manager, Internal Audit

Snap Inc. - Los Angeles, CA
Research and stay current on new technical literature applicable to the internal controls process (e.g., PCAOB guidance, SEC, ISACA etc.), emerging trends, and...

ICS Operations Manager

City National Bank - 201 reviews - Los Angeles, CA
Experience with OCC and SEC regulations; Minimum 5 years of compliance and risk management experience Skills and Knowledge:....

Director, SEC Reporting

Global Eagle Entertainment - 8 reviews - Los Angeles, CA
Director, SEC Reporting. Managing the internal and external financial reporting on a monthly, quarterly, and annual basis, including assuring compliance with...

Regulatory Accounting Manager (466-3)

Brokerage Consultants Inc. - Los Angeles, CA
The financial regulatory compliance. Regulatory filings and manage regulatory compliance. Manage relationship with regulators (including FINRA, CME, SEC, NFA)...
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Audit Manager

SINGER LEWAK LLP - Los Angeles, CA 90024
SEC experience highly preferred. Promotes the most efficient operations of the Firm and supports compliance guidelines in managing others. Assurance & Advisory....

Compliance Specialist

Comprehensive Community Health Center - 2 reviews - Glendale, CA 91205
3-5 years’ experience in Risk Management and/ or compliance programs. Responsible for providing support for risk management and compliance functions within CCHC...

Screening Supervisor

Andy Frain Services - 323 reviews - Los Angeles, CA
Screen cargo in compliance with the guidelines set forth by TSA. Process report for the Security Supervisor and/or Dir of Sec., identifying areas of concern in...
Business Solutions Senior Accountant
SingerLewak LLP - 5 reviews - Los Angeles, CA 90024
Our core services deliver results whether it’s auditing, accounting, entrepreneurial business services, tax preparation, business management, SEC filings and...
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Audit Manager
SingerLewak LLP - 5 reviews - Los Angeles, CA 90024
SEC experience highly preferred. Our core services deliver results whether it’s auditing, accounting, entrepreneurial business services, tax preparation,...
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