Securities Compliance & Trade Oversight Principal
U.S. Bank
U.S. Bank is seeking an experienced sales supervisor to oversee securities transactions and new accounts at our California location. You will ensure compliance with FINRA, MSRB, OCC, and internal policies while supporting the Regional Manager and Field Supervision Principal. You will analyze and approve transactions, perform pre-approvals, monitor advisor activity for trends, and serve as the primary compliance consultant for trade-related questions, training, and escalation when needed. #J-18808-Ljbffr Us Bank
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Securities Compliance & Trade Oversight Principal in Glendale, CA vacancy
- The Compliance Manager supports the implementation and ongoing enforcement... ...a primary focus on global trade regulations and a secondary... ...including interactions with oversight bodies such as the Defense Contract... ...Counterintelligence and Security Agency (DCSA) requirements for...SuggestedFull timeContract workCasual workWork at officeWeekend workAfternoon shift
$96.6k - $130k
...with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising... ...and new techniques used to market securities products and services.Assists in analysis... ...maintain, and those in which they control trading or have a financial interest (including...PrincipalFull timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate start- ...International Trade Senior Associate Attorney or Counsel Direct Counsel is seeking an International Trade... ...multinational companies on complex customs, trade compliance, export controls, sanctions, and national security matters. Key Responsibilities Advise...SuggestedWork at office
Direct Counsel
Los Angeles, CA2 days ago - Korn Ferry, partnering with our client in DTLA, is seeking an experienced Compliance Analyst. The role focuses on ensuring adherence to regulatory, client, and internal guidelines through trade reviews and monitoring. You will respond to inquiries, assist in developing...Suggested
$77k - $214k
...and guidance to clients on tax planning, compliance, and strategy. These individuals help businesses... ...OpportunityAs part of the Customs and Trade Tax team you are set to lead the way as... ...factors thoughtfully to establish a secure and trusted workplace for all.SummaryLocation...SuggestedFull timeH1b- The Trade Desk in Los Angeles, CA seeks an experienced corporate attorney to counsel cross‑functional teams on complex securities, M&A and transactional matters, with a strong focus on strategic... ...equity programs, and regulatory compliance while scaling legal processes in...
$200k - $225k
Compensation Range:$200,000.00 - $225,000.00 Annual SalaryJob Description Summary:The Director of Security and Compliance leads the design and oversight of cybersecurity, compliance, and privacy programs that safeguard the organization’s digital assets and data while ensuring...Full timeTemporary workFlexible hours$185k - $237.5k
...reporting on risks inherent to business activities, including compliance, legal, security, finance and 3rd parties. Self-identify, report, monitor,... ...follow through across teams.What you'll bring to Circle:Principal Product Operations and Risk Analyst10+ years working in...PrincipalFlexible hours$124k - $335k
...and guidance to clients on tax planning, compliance, and strategy. These individuals help businesses... ...you focus on various aspects of duty and trade strategy regulatory planning, dispute... ...factors thoughtfully to establish a secure and trusted workplace for all.SummaryLocation...Full timeH1b$145k - $210k
Senior Director, Physical Security, Risk, and Business Management The Senior Director, Physical... .... Aid in the preparation and oversight of the security planning and Games-time... ...External Partner Coordination Serve as the Principal Deputy to the SVP, Safety and Security,...For contractorsWork experience placementWork at officeLocal areaRelocation packageAfternoon shift$193k - $241k
...sponsorship, and a mandate to ship. As the Principal Product Manager and business owner of... ...havePrior experience in observability, APM, security, or developer tools.Experience sitting... ...remote, or hybrid.Our hiring processIn compliance with applicable law, all persons hired...PrincipalWork at officeRemote workFlexible hours$73.72k - $164.57k
...firm.KPMG is currently seeking a Senior Associate to join our Trade and Customs practice.Responsibilities:Support managed service engagements... ...operationsProvide quality review for basic to complex trade compliance tasks and processes performed within the Trade & customs...H1bLocal area- ...Transformation Advisory Practice is seeking a Principal Consultant specializing in AI Platform &... ...Gateways, and enforce policy and compliance across federated AI architecture.Key Responsibilities... ...federation (Entra ID/Okta), RBAC, and secure token exchange.Collaborate on CI/CD...PrincipalFull timeTemporary workLocal area
- ...in Glendale/Brea seeks a Central Supervision Principal to supervise securities transactions and new accounts, ensuring compliance with FINRA, MSRB, OCC and internal policies.... ...Principal to uphold standards and guide trade-related inquiries. The position requires a bachelor...
$172.1k - $218.2k
...Description The Director of Compliance and Delegation Oversight leads COPE Health Solutions’ (CHS) enterprise... ...with the Chief Information Security Officer, business leaders, and legal... ...0 - $218,200 Reports To Principal and SVP, Operations Direct Reports...Full timeContract workFor contractorsFor subcontractorWork at officeCOPE Health Solutions
Los Angeles, CA13 days ago$182.3k - $284.9k
...announce a great opportunity with Jacobs: Principal Environmental Project Manager -... ...NEPA, Section 106 of the NHPA,and/or ESA compliance.Experience leading projects for FRA, FTA... ...about. Your health. Your well-being. Your security. Your future. Employees have access to medical...PrincipalFull timeContract workLocal areaRemote work$105.4k - $207.8k
Position Summary Cyber SAP Security and GRC Access & Process Control Senior Consultant / Senior Engineering Management SpecialistJoin... ...SAP ECC, SAP S/4HANA, SAP Fiori, or SAP Governance, Risk, and Compliance (GRC)3+ years of experience designing or supporting role-based...Local areaVisa sponsorship$83.6k - $143.56k
...operations aligned to reliability/SLOs. Design identity centric security with ISE: policy sets, authorization profiles, posture, PxGrid... ...: HLD/LLD, as builts, standards, security exceptions, and compliance artifacts; contribute to reference architectures and reusable...Principal- Cloud Software Group is looking for a Principal Security Technology Strategist to enhance customer security solutions across North America. This role is crucial for building relationships with clients, addressing their security needs, and guiding product development. Strong...PrincipalRemote job
$88.85k
Salary Range $88,854.00 (Min.) - $115,509.00 (Mid.) - $142,166.00 (Max.) Job Summary The Delegation Oversight Compliance Auditor III is responsible for planning, coordination, and conducting comprehensive compliance audits and reviews to assess adherence to regulatory...Work at office$150k - $230k
...Strategy to join the Strategy & Marketing Team. This individual will support the continued growth and success of our Corporate & Securities practice and play a key role in the development and execution of strategic business development and marketing initiatives.The Manager...Full timeWork at office- ...for the Games. The role requires leading specialists who manage thousands of shipments, interpreting CBP rulings and international trade laws to keep freight moving. Based onsite in Downtown Los Angeles, you will coordinate with brokers, PGAs, and government agencies,...
- Cloud Software Group, LLC is seeking a Principal Security Technology Strategist to drive security strategy across North America. You’ll partner with account teams and the Security BU to deepen DNA across customer security teams, guiding product development and customer...PrincipalRemote work
$100k - $130k
PPG is seeking a Trade Compliance Manager to handle export control regulations in a hybrid role based in locations such as Sylmar, CA or Atlanta, GA. Responsibilities include maintaining export compliance procedures, providing consultative guidance, and conducting internal...$300k - $350k
...leader in the industry in reliable, safe, secure, and sustainable digital infrastructure.... ...Job Description Ares is seeking a Principal to join the Digital Infrastructure Legal... ...revenue generating agreements, ensuring compliance with regulations, managing contractual agreements...PrincipalContract workTemporary workWork experience placementFlexible hoursAda Infrastructure
Los Angeles, CA2 days ago$1,100 per month
Oman OnlineConnect is seeking a Senior Information Security Analyst to develop and implement security policies and procedures. This full-time role based in Los Angeles involves conducting risk assessments and monitoring network activities. The ideal candidate should have...Full timeVisa sponsorship- Latham & Watkins, located in Downtown Los Angeles, seeks an Enterprise Security Compliance Manager to join the Global Security & Risk Management team. This role leads security compliance activities, responses to client questionnaires, assessments, and RFPs, coordinating...Work at officeFlexible hours
- ...a Senior Manager, Customs to establish and run the customs clearance operation for the Los Angeles 2028 Games, translating complex trade law into clear guidance and leading the specialists who keep freight moving. This on-site role requires leading a team across entry...
- Rula is seeking a Sr. Legal Counsel to join their legal team and support compliance in employment, privacy, and security matters. Ideal candidates should have extensive legal experience, particularly in employment and healthcare privacy law, and possess strong analytical...Remote job
$150k - $240.5k
...employees — whether we’re designing affordable health plans, securing finances for retirement, or aligning employees with workforce... ...innovation and impact and every idea and solution we offer. Sr. Principal Lead Health Actuary Consultant What can you expect?...PrincipalMinimum wageWork at officeLocal areaRemote workFlexible hours3 days per week1 day per week
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Securities Compliance & Trade Oversight Principal. Be the first to apply!
Related searches
- senior principal cloud computing engineer Glendale, CA
- principal Glendale, CA
- pharmaceutical regulatory affairs Glendale, CA
- code compliance Glendale, CA
- regulatory affairs part time Glendale, CA
- vendor compliance Glendale, CA
- environmental compliance Glendale, CA
- tax compliance Glendale, CA
- medical compliance Glendale, CA
- labor compliance Glendale, CA