• Chief Compliance Officer - BAM

    Banc of California (Santa Ana, CA)
    …(FCRA), Bank Secrecy Act (BSA) in conjunction with the USA PATRIOT Act, Anti- Money Laundering (AML) and Customer Information Program (CIP), Right to Financial ... affordable housing, and more. **JOB SUMMARY:** Banc of California's subsidiary, BancofCal Asset Management ("BAM") is a Registered Investment Advisor ("RIA"). The … more
    Banc of California (02/17/24)
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  • Senior Audit Manager - Personal Trust,…

    US Bank (Milwaukee, WI)
    …audit activities by integrating other internal audit subject matter teams (Anti- Money Laundering , Compliance, Risk Management, Data, Operations, etc.) to ... for leading the audit team owning the Personal Trust, Asset Management, and Broker Dealer products. This role supports...and Investment Services, the Senior Audit Director and the Chief Audit Executive, in providing the Audit Committee and… more
    US Bank (03/13/24)
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  • Sr. Manager, Investment Compliance

    AON (Chicago, IL)
    …Canada 's, compliance policies including its Code of Conduct, Marketing, and Anti- Money Laundering policies + Additional special projects and tasks based ... Canada 's, compliance policies including its Code of Conduct, Marketing, and Anti- Money Laundering policies + Additional special projects and tasks based… more
    AON (02/11/24)
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  • Commercial Broker Dealer Compliance Advisor…

    Capital One (Mclean, VA)
    …SEC and FINRA rules and regulations, including but not limited to anti- money laundering , outside brokerage accounts, outside business activities, OSJ/branch ... Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will serve as the Deputy Commercial Broker… more
    Capital One (02/22/24)
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