Senior Compliance Associate - Los Angeles, United States - LSTA

Compliance Associate or Senior Compliance Associate

2 weeks ago

Compliance Associates and Senior Compliance Associates · Do you have a thirst for Compliance? Would you like to learn how to become a CCO? If you're looking for a dynamic, fulfilling career where your contributions can make a real difference for some of today's fastest-growing co ...

Associate, Compliance

1 week ago

Include:Performing daily trade reviews and analysis. Liaising with Investment Professionals on trading and portfolio related matters on a real time basis. Conducting reviews to ensure securities data accuracy. Preparing and communicating client compl Compliance, Trade, Investment ...

Associate, Compliance

8 hours ago

Oaktree is a leader among global investment managers specializing in alternative investments, with $192 billion in assets under management as of March 31, 2024. The firm emphasizes an opportunistic, value-oriented, and risk-controlled approach to investments in credit, private eq ...

Associate, Compliance

1 week ago

Oaktree is a leader among global investment managers specializing in alternative investments, with $189 billion in assets under management as of December 31, 2023. The firm emphasizes an opportunistic, value-oriented, and risk-controlled approach to investments in credit, private ...

Senior Compliance Associate

1 week ago

"I can succeed as a Senior Compliance Associate at Capital Group." · The Code of Ethics Team is dedicated to helping associates observe exemplary standards of integrity, honesty, and trust. It sets out standards for our personal conduct, including personal investing, gifts and ...

Associate, Compliance

3 weeks ago

Oaktree is a leader among global investment managers specializing in alternative investments, with $192 billion in assets under management as of March 31, 2024. The firm emphasizes an opportunistic, value-oriented, and risk-controlled approach to investments in credit, private eq ...

Compliance Associate

2 weeks ago

"I can succeed as a Compliance Associate at Capital Group." · As a Compliance Associate, you will help to ensure we comply with regulations, requirements and policies. You'll conduct investment compliance research, manage and prepare regulatory filings, and leverage your passion ...

associate insurance compliance officer, department of insurance

2 weeks ago

Job Description and Duties · Under direction of a Supervising Insurance Compliance Officer, the incumbent independently investigates, mediates, resolves, and/or responds to the more varied and sometimes complex consumer complaints and inquiries, specific to claims handling pract ...

Payroll Compliance Associate

4 weeks ago

Job Description · Job Description · It's more than just numbers. · Miller Kaplan is a different kind of CPA firm; we believe in building a legacy—yours. We want to give our clients the very best, and we understand that begins with helping our employees be their best through pro ...

Marketing Compliance Associate

3 weeks ago

About Altruist · Altruist is a fast growing fintech company that's transforming the financial advice industry. Our mission is to make financial advice better, more affordable, and accessible to everyone. Were a modern custodian built exclusively for registered investment advisors ...

Compliance Associate

1 week ago

Overview: · Parkwest Bicycle Casino is looking for an enthusiastic, motivated Compliance Associate to join our team? We are seeking a tram player who is ready to go the extra mile and support our Compliance Department. Please see responsibilities below · Responsibilities: · Orga ...

Regulatory Compliance Associate

3 weeks ago

Job Description · Job Description · Why We Exist and What We Do · : · At Dr. Squatch · ), · we're raising the bar on men's personal care with our line of natural, high-performance products. We're on a high-growth, fast-moving ride, continually introducing new product categor ...

Compliance Testing Associate

4 weeks ago

Responsibilities: · Perform · gap assessments of existing compliance policies, processes , and controls to identify deficiencies and areas for improvement. · Conduct design and operating effectiveness testing to · assess compliance controls · in accordance with established tes ...

Compliance Quality Associate

1 week ago

**Compliance Quality Associate (CQA)** · Join a dedicated team that fosters autonomy and creativity while receiving a competitive salary, career and personal growth opportunities, and the gratification that comes from creating positive multi-generational change. · **Ednovate Back ...

Securities: Compliance Associate

2 weeks ago

Compliance Associate · B. Riley Securities, Inc. · B. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on offerings, institutional ...

Compliance & Risk Manager - Associate Investment Manager

1 week ago

Are you looking for an opportunity to advance your risk management career? Are you ready to work at the largest public pension fund in the United States? Do you like working in a continuously evolving environment? As a direct report to the Deputy Chief Risk and Compliance Officer ...

Associate Athletic Director of Compliance and Student-Athlete Services

2 days ago

In order to be considered for this role, after clicking "Apply Now" above and being redirected, you must fully complete the application process on the follow-up screen. · The University of California, Los Angeles (UCLA) is accepting applications for the position of Associate Ath ...

Associate Athletic Director, Compliance

2 weeks ago

The Associate Athletic Director of Compliance and Student Services reports directly to the Senior Associate Athletic Director for Governance and Sport Administration. Primary responsibilities includes oversight of day to day compliance operations monitoring compliance with NCAA, ...

Compliance Associate

2 weeks ago

Overview: · Parkwest Bicycle Casino is looking for an enthusiastic, motivated Compliance Associate to join our team? We are seeking a tram player who is ready to go the extra mile and support our Compliance Department. Please see responsibilities below · Responsibilities: · Orga ...

Compliance Associate

2 weeks ago

Overview: · Parkwest Bicycle Casino is looking for an enthusiastic, motivated Compliance Associate to join our team? We are seeking a tram player who is ready to go the extra mile and support our Compliance Department. Please see responsibilities below · **Responsibilities**: · - ...