Compliance Officer - California, United States - Fernridge Group

Regulatory Compliance Officer

2 weeks ago

A fintech firm located in Orange County, CA who's looking to bring on board a "Regulatory Compliance Officer" to their team. They are currently growing at a rapid pace and looking for superstars. You do not need fintech experience for this role although it is a plus. They are in ...

Regulatory Compliance Officer

1 week ago

Day-to-Day Responsibilities: · Oversee and test compliance with relevant laws, regulations, internal protocols, and bank standards · Perform continuous evaluation and documentation of customer grievances, including managing escalated issues from customers · Supervise vendor relat ...

Chief Compliance Officer/Counsel

2 weeks ago

Targeting 10+yrs exp. · MNPI exp, new marketing rules, fund formation, fund structuring. · Has completed an SEC exam. · Comfortable working on a small team and with outside consultants. · Office located in Orange County, California · ...

Senior Compliance Associate/Officer

3 weeks ago

The candidate should have at least 3-5+ years of experience, preferably at a private fund or major consulting firm. The individual must be very attentive to details, have strong writing skills, be able to craft compliance policies and procedures, and excel at project management. ...

General Counsel/Chief Compliance Officer

2 weeks ago

Our client is a prominent investment management firm searching for a GC/CCO to manage, grow, and implement an SEC regulatory program and manage internal legal operations. · Responsible for the ongoing development, implementation, and refinement of a comprehensive compliance progr ...

Vice President, Chief Compliance Officer of Broker-Dealer and RIA

2 weeks ago

The Role: · We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the Soho, NY area. This is a critical role overseeing compliance for core parts of Forge's business, reporting directly to the Head of Compliance. You'll effectively mana ...

Office Assistant

3 weeks ago

**Responsibilities**: · - Organize office and assist associates in ways that optimize procedures · - Sort and distribute communications in a timely manner · - Create and update records ensuring accuracy and validity of information · - Monitor level of supplies and handle shortage ...

Financial Accountant

2 weeks ago

Job Title: Financial Accountant · Reports to: CFO/Financial Controller · Classification: Exempt · Time Commitment: Full-time · **Primary Responsibilities** · - Prepare monthly journal entries and balance sheet reconciliations. · - Assist in the preparation of the Company's financ ...

Customer Service Representative

1 week ago

At Lendmark Financial Services, we believe the success of our company is specifically attributable to the quality of our employees and their commitment to our customers. We value each customer and understand that people want to do business with people who care. That's one way we ...

Program Analyst Associate

2 weeks ago

Type of Requisition: · Regular · Clearance Level Must Currently Possess: · None · Clearance Level Must Be Able to Obtain: · None · Suitability: · Public Trust/Other Required: · Job Family: · Program Management · Job Qualifications: · **Skills**:Finance, Invoices, Payment Handling ...

Independent Logistics Assessments

2 weeks ago

**The Organization: Sierra Management and Technologies, Inc.** · Sierra is a small, disadvantaged, minority-owned business that values its employees who provide superior services and solutions to our customers. Sierra has a proud history of hiring veterans and encourages those wh ...

Employee for operational project and order support

2 weeks ago

For our department "Customer and Product Management" we are looking for an employee for operational project and order support (m/f/d). The deployment can take place at our offices in Gießen, Darmstadt or Kassel. This position is a full-time position, which can also be divided. Th ...

Irrigation Technician

1 day ago

**SUMMARY**: · The Irrigation Technician repairs irrigation systems as assigned by the LIT on contracted properties. · **PRIMARY RESPONSIBILITIES**: · - Troubleshoot and repair problems as assigned on conventional and 2-wire irrigation systems. · - Learns to program automatic con ...

Site Technician

1 day ago

**SUMMARY**: · The Site Technician preforms irrigation systems checks and weekly maintenance duties on specific site(s) assigned by the IM on contracted properties. · **PRIMARY RESPONSIBILITIES**: · - Preform basic irrigation system repairs weekly and communicate advanced repairs ...

Lead Irrigation Technician

1 day ago

**SUMMARY**: · The Lead Irrigation Technician with limited supervision assists in the management of irrigation systems for contracted properties and collaborates with the IM on strategies for effective water management programs. Daily management of assigned Irrigation Technicians ...

Enhancement Field Manager

1 day ago

**SUMMARY**: · Responsible for the directing and leading Enhancement Foremen and project crews. The EFM oversees the day-to-day activities of enhancement work including quality, safety, equipment management, and project route planning while helping ensure that job budgets are con ...

Maintenance Account Manager

1 day ago

**SUMMARY**: · The Maintenance Account Manager (MAM) actively manages multiple active projects at any given time. Responsible for ensuring on-time and on-budget project outcomes, the MAM has ultimate accountability for leading project teams in a manner that is aligned with the bu ...

Problem-solving Court Probation Officer

5 days ago

Responsibilities · This position is responsible for supervising participants who are participating in Noble County's Problem-Solving Court program. This may include monitoring treatment compliance, conducting clinical screenings, providing oral and written reports to the problem- ...

Assistant Customer Service Manager

2 days ago

**Supervise up to 120 associates in the Customer Service Department [cashiers, baggers, customer service clerks] and accounting office. Is responsible with the overall direction, coordination, and evaluation of these departments. Carry out supervisory responsibilities in accordan ...

Operations Supervisor

5 hours ago

**General Summary of Position** · **Job Summary**: · MedStar Health is looking for a Supervisor of Operations to join our MedStar Health Urgent Care (MHUC) team We are looking for someone with Excellent customer service / patient interaction skills; computers and electronic medic ...