Regulatory Compliance Financial Services jobs in Newport Beach, CA

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Regulatory Affairs, Contracts and Compliance Senior Advisor
Managing and mitigating risks, including calculating the financial risks of the projects, and monitoring the contract and services for compliance....
Customer Service Representative III (R0005394)
Must sell financial products and services to meet referral goals and performance evaluation/personal goals. Maintains thorough knowledge of bank products and...
Registered Client Associate - Wealth Brokerage Services
Maintaining compliance files; Assists financial consultants and financial advisors by providing sales and servicing support....

Compliance Associate

Hifx - Buena Park, CA 90620
Online/digital financial services (FX/payments) experience would be highly desirable. Escalates complex cases to compliance manager where required;...
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Student Success Advisor, Student Services

West Coast University - 59 reviews - Irvine, CA 92617
One to two years previous experience in student services. And maintains current knowledge in the field of student relations/student services....

Compliance Specialist

Solari Enterprises Inc - 19 reviews - Orange, CA 92867
$47,840 - $55,000 a year
Experience from Mortgage, Insurance, or Financial industries working with compliance and regulations will have transferable skills that will be considered....
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Financial Services Manager

Pacific Premier Bank - 33 reviews - Irvine, CA
The Financial Services Manager is responsible for assisting the Branch Service Manager in supervising the new accounts and customer service activities of the...

Economic Development Coordinator (Full-Time)

City of Stanton, California - Stanton, CA
$5,624 - $7,178 a month
Development services and functions. Administration and financial administration. Assist in monitoring compliance of existing approved....
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Regulatory Affairs and Compliance Senior Advisor

Southern California Edison - 610 reviews - Westminster, CA 92684
Managing and mitigating risks, including calculating the financial risks of the projects, and monitoring the contract and services for compliance....

Vendor Compliance Specialist

Carrington Mortgage Holdings, LLC - 191 reviews - Aliso Viejo, CA
Ensure that vendor is in compliance with Company, regulatory and client requirements. Assist Supply Chain Management with vendor management engagement duties,...

AML/BSA Investigator

U.S. Bank - 5,196 reviews - Irvine, CA
Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business....

Software Engineer – Regulatory Compliance Technology

First Republic Bank - 118 reviews - Corona del Mar, CA 92625
Manage all technical documentation for the Regulatory Compliance Technology ecosystem. Will lead and participate in design, development and implementation of...

VP - Risk & Compliance Officer, Santa Ana

Banc of California - 87 reviews - Santa Ana, CA
Certified Regulatory Compliance Manager (CRCM) designation preferred. Responsible for serving as the lead compliance resource or Subject Matter Expert (SME) for...
Sr. Claims Compliance Analyst
Care1st Health Plan - 50 reviews - Monterey Park, CA
Quarterly regulatory reporting. Lead projects to improve compliance. Ability to comprehend and interpret regulatory requirements....
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Investment Consultant - Huntington Beach, CA
TD Ameritrade - 451 reviews - Huntington Beach, CA
Understanding of current regulatory requirements in the financial industry. A Investment Consultant at TD Ameritrade will assess, assist, and advise existing...