Jobs
>
San Diego

    Legal Research and Regulatory Compliance Advisor - San Diego, United States - California Coast Credit Union

    California Coast Credit Union
    California Coast Credit Union San Diego, United States

    3 weeks ago

    Default job background
    Banking / Loans
    Description

    The Legal Research and Regulatory Compliance Advisor will be responsible for review, analysis and collection of documentation to complete member and outside requests relating to subpoenas, trust documents, power of attorney requests, contract review, insurance and other legal matters. This position will also assess risks and compliance, to identify and mitigate legal risk areas across the organization. The Legal Research and Regulatory Compliance Advisor provides daily operational support to internal departments and branches on legal, compliance, risk-related issues and is involved in various cross functional projects.

    DIMENSIONS:

    • Service: Provide exceptional service to internal partners and external members.
    • Grit: Persistent in the application of knowledge, skills, and behaviors to achieve goals and address obstacles.
    • Intrinsic Motivation; is self-driven to meet or exceed objectives, timelines, and quality measures while building and sustaining effective relationships.
    • Creative Problem-solving: finds ways to meet individual, team, and member goals, by navigating through barriers.
    • DEI: Advocate, promoter, and modeler of diversity, equity, and inclusion.

    NATURE & SCOPE:

    • Owns legal reporting and creates reports to inform stakeholders.
    • Collects, reviews and analyzes legal requests made by members and outside parties.
    • Assists in matters subject to legal holds to gather and preserve all potentially relevant data.
    • Establish data, metrics and benchmarking through multiple sources to evaluate trends and cost of compliance and legal risk to prioritize resources.
    • Provides key input to the compliance and legal process.
    • Strong time-management skills to maintain or exceed expected daily workload, while also maintaining overall team defined internal service standard
    • Collaborates with management to define and establish key risk indicators to effectively monitor and predict increasing compliance, legal, and risk conditions.
    • Participates in project teams, committees and focus groups related to operational process improvement initiatives.
    • Completes thorough and accurate work
    • Provides operational support in the Compliance, Legal, and Risk Management departments as needed.
    • Performs other duties as assigned/required.

    Education, skills, & abilities:

    • Bachelor's degree, in, business, finance, political science, or a related field, from an accredited college/university.
    • Juris Doctor degree required from accredited law school. California State Bar License preferred but not required.
    • 1-3 years of recent experience legal work, contract review, and compliance.
    • Strong analytical, communication (oral and written), and personal computer skills.
    • Ability to gather, compile and present data in a clear and logical manner.
    • Meticulous, detail-oriented approach to work matters
    • Up-to-date understanding of key legal issues germane to banking industry
    • Effective interpersonal skills; ability to communicate persuasively, in writing, speaking and audio-visual technologies
    • Exceptional writing and grammar proficiency, ability to present numerical data effectively, and ability to edit own work for spelling and grammar.
    • Experience working with Microsoft Applications such as Excel, Word, PowerPoint, Access and Outlook. Advance working knowledge of Excel is required.
    • Ability to handle multiple responsibilities and projects simultaneously and meet deadlines.
    • Highly motivated to contribute and grow within a complex area of emerging importance,

    MAJOR ACCOUNTABILITIES:

    • Supports the Compliance, Legal and Risk Management department in managing legal related functions and of key business risks relating to legal and compliance.
    • Completes daily operations relating to legal functions; perform factual and legal research and analysis
    • Accountable for and act in a leadership capacity for multiple complex and critical processes, programs and projects for the Compliance, Legal and Risk Management Department
    • Draft and review contracts.
    • Keep abreast of legal and regulatory requirements affecting the credit union.
    • Serves as a key contributor in cross-functional teams

    PHYSICAL REQUIREMENTS

    • Ability to tolerate periods of continuous sitting. Ability to lift to 10 pounds. Ability to concentrate on tasks and sit in meetings for extended periods.

    ENVIRONMENTAL CONDITIONS

    • Work is primarily performed within a cubicle office setting, or a home work environment. It may be subject to standard background noise found in an office environment.

    Note: Staff is expected to perform various tasks, projects and administrative duties as assigned. Management reserves the right to assign or change duties and tasks to this position at their discretion.

    Salary Range

    $90, $113,

  • California Coast Credit

    Legal Research and Regulatory Compliance Advisor

    3 weeks ago

    California Coast Credit San Diego, United States

    The Legal Research and Regulatory Compliance Advisor will be responsible for review, analysis and collection of documentation to complete member and outside requests relating to subpoenas, trust documents, power of attorney requests, contract review, insurance and other legal mat ...

  • Realta Wealth

    Chief Compliance Officer

    1 week ago

    Realta Wealth San Diego, United States

    POSITION REPORTS TO: Kevin Keefe, CEO of Realta Wealth · POSITION TITLE: Chief Compliance Officer · LOCATION: San Diego, CA · COMPANY DESCRIPTION: · Realta Wealth · Registered in 50 states plus DC and Puerto Rico · 64 Branches · Founded: 1989 · AUM: Over $2B · Number of Financ ...

  • Affinity Executive Search

    Senior Wealth Advisor

    2 weeks ago

    Affinity Executive Search San Diego, United States

    Job description: · Senior Wealth AdvisorLOCATIONS: · San Diego, CAJob Type: Full Time (Hybrid)We are seeking an ambitious, driven, detail-oriented Senior Financial Advisor to join our multidisciplinary wealth advisory team.The candidate will work closely with our Wealth Advisor ...

  • Bank of America

    Market Leader- Advisor Development Program- San Diego, CA

    1 week ago

    Bank of America San Diego, United States Full time

    Description · : As a Market Leader for the Advisor Development Program (ADP), you will: · Provide regulatory supervision and oversight to advisors · Ensure ADP participants are meeting and achieving hurdles · In alignment with national program, lead training and develop acti ...

  • LPL Financial

    AVP, Investment Transition Manager

    6 days ago

    LPL Financial San Diego, United States Full time

    Job Overview: · The Investment Transition Partner (ITP) works directly with recruits who are transitioning from various firms to LPL Financial into any of LPL affiliation types such as Core, SWS, Linsco, RIA, Advisor Network and Institutional. The ITP's core responsibilities will ...

  • Amerit Fleet Solutions

    Service Advisor

    2 weeks ago

    Amerit Fleet Solutions San Diego, United States

    Position Summary: · Amerit Fleet Solutions, one of the leading fleet maintenance companies in the US, is looking to hire a skilled Service Advisor - Administrative Assistant The Service Advisor - Administrative Assistant position will be responsible for data entry, scheduling of ...

  • LPL Financial

    Senior Analyst, Supervision

    2 weeks ago

    LPL Financial San Diego, United States Full time

    Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the ...

  • Realta Wealth

    Alternative Investments Supervision Principal

    6 days ago

    Realta Wealth San Diego, United States

    Realta Wealth- Alternative Investments Securities Principal · COMPANY DESCRIPTION: · Realta Wealth · Registered in 50 states plus DC and Puerto Rico · 64 Branches · Founded: 1989 · AUM: Over $2B · Number of Financial Professionals: 160 · Accounts: 9,000+ · Production: $325K Av ...

  • American Tire Depot

    Automotive Sales and Service Advisor

    2 weeks ago

    American Tire Depot San Diego, United States

    Automotive Sales and Service Advisor: $19-$25 effective rate (Base Pay + Commission + Overtime + Paid Benefits) · Check us out on WrenchWay and Service advisors provide exceptional customer service to our guests while confidentially recommending products and services the vehicl ...

  • EY

    Junior Indirect Tax Consultant

    2 weeks ago

    EY San Diego, United States

    The opportunity · : your next adventure awaits At EY, Tax professionals combine agility, diverse thought, tax technical depth, and the power of technology and analytics to provide exceptional client service. In a rapidly changing business and tax environment, Tax professionals a ...

  • Banner Bank

    Financial Advisor

    4 weeks ago

    Banner Bank San Diego, United States Full time - Salary

    More than 130 years ago, we started with core values that never go out of style: listen, learn and help businesses and individuals reach their goals. Our financial strength and stability are key reasons Forbes names us one of the Best 100 Banks in America the past five years.With ...

  • Success Education Colleges

    Financial Aid Advisor

    2 weeks ago

    Success Education Colleges San Diego, United States Part time

    Job Details · Description · Become an Education Leader and join our team of dedicated Professionals. · North-West College is part of a stable and growing system of seven campuses in California and Nevada, which is a leader in Medical Career Training since 1966. · Visit our Webs ...

  • EY

    Internship Employment Consultant

    1 week ago

    EY San Diego, United States InternshipSHIP

    As a global leader in assurance, tax, transaction and advisory services, we hire and develop the most passionate people in their field to help build a better working world. This starts with a culture that believes in giving you the training, opportunities and creative freedom to ...

  • Drug Enforcement Administration

    Supervisory Management and Program Analyst

    4 weeks ago

    Drug Enforcement Administration San Diego, United States

    Summary · These positions are located in the Drug Enforcement Administration (DEA), Dallas and San Diego Field Divisions. · The position's primary purpose is to support the Business Operations Program (BOP) within the respective DEA Domestic Division. The incumbent will serve as ...

  • Success

    Financial Aid Advisor

    2 weeks ago

    Success San Diego, United States

    Job DetailsJob Location : San Diego - San Diego, CAPosition Type : Part-TimeEducation Level : High School DiplomaSalary Range : $ $24.00 HourlyJob Shift : Day · Description · Become an Education Leader and join our team of dedicated Professionals. · North-West College is part ...

  • Regal Executive Search

    Tax Manager

    2 weeks ago

    Regal Executive Search San Diego, United States

    Job DescriptionTax Manager · Description · We are seeking an experienced Tax Manager to lead and manage the tax practice in our San Diego / La Jolla Office. This individual will be responsible for managing compliance and consulting engagements, including the delivery of high-qu ...

  • Caliber Collision Centers

    Fleet Solutions Body Technician

    2 weeks ago

    Caliber Collision Centers San Diego, United States

    Service CenterFleet - San DiegoJob SummaryAutobody Technicians repair vehicles thoroughly, safely, and profitably in a manner consistent with Caliber S.O.P., insurance partner and industry guidelines/standards.ResponsibilitiesComplete dis-assembly of vehicle in order to assist Se ...

  • USI Insurance Services

    VP, Defined Benefit Sales

    6 days ago

    USI Insurance Services San Diego, United States

    SUMMARY · The VP, Defined Benefit Sales Producer is responsible for promoting all aspects of USI Consulting Group's (USICG) defined benefit solutions and driving new business sales. Services include actuarial consulting, investment advisory, benefit administration co-sourcing an ...

  • InsideHigherEd

    Primary School Certifying Official

    2 weeks ago

    InsideHigherEd San Diego, United States Administrative Jobs ,

    · Primary School Certifying Official - Education Benefits Advisor · Job No: 538323 · Work Type: · Locations: San Diego · Categories: Unit 4 - APC - Academic Professionals of California, Probationary, Full Time, Student Services, On-site (work in-person at business location) · P ...

  • Guild Mortgage Company

    Sr IT Governance Analyst

    2 weeks ago

    Guild Mortgage Company San Diego, United States Full time

    Guild Mortgage Company , closing loans and opening doors since 1960. As a mortgage banking firm we are dedicated to serving the home owner/buyer. Our goal is to provide affordable home financing for our customers, utilizing the best terms available while providing a level of prof ...