Regulatory Examiner: Financial Institutions & Markets
California Department of Financial Protection and Innovation
California Department of Financial Protection and Innovation in Los Angeles is recruiting for a permanent, full-time Financial Institutions Examiner in the General Counsel Division, Broker Dealer / Investment Adviser Regulations Office. The role evaluates license applications and ensures proper registration of brokers, dealers, and advisers, with attention to required qualifications and disclosed disciplinary actions. This position may be filled from this recruitment for the next 180 days. #J-18808-Ljbffr California Department of Financial Protection and Innovation
$8.83k - $11.6k
The Department of Financial Protection and Innovation (DFPI) protects consumers and... ...operations of state-licensed financial institutions, including banks, credit unions and... ...0-123-4102-316 Working Title: Senior Regulatory Examiner Classification: SENIOR FINANCIAL INSTITUTIONS...FinancialRegulatoryPermanent employmentFull timeWork at officeRemote work$178.85k - $304.04k
“I can succeed as the Institutional Marketing Lead at Capital Group.” The Institutional Marketing... ...marketing within asset management or financial services. You have a proven track record... ...have the ability to navigate complex regulatory environments and ensure compliance in...FinancialRegulatoryTemporary workLocal area$56.82k - $71.03k
...challenges and shape the future of financial well-being. You take... ...documentation. Ensures that regulatory reports are prepared in a manner... ...as from other financial institutions and law enforcement. Provides... ...grades could fluctuate based on market value. #J-18808-Ljbffr...FinancialRegulatoryWork at office$212.5k - $272.5k
...the world’s leading internet financial platform companies, building... .... Enterprises, financial institutions, and developers use Circle to... ...the Director, Arc - Capital Markets Strategy & GTM, you will define... ..., competitive dynamics, regulatory developments, and market trends...FinancialRegulatoryFlexible hours- ...Description and Duties The Department of Financial Protection and Innovation is... ...Permanent, Full-time Senior Financial Institutions Examiner position within the Escrow Examinations... ...complaints, perform the most complex regulatory and special examinations, reviews reports...FinancialRegulatoryPermanent employmentFull timeWork at officeRemote work
$76.6k - $127.6k
Position Summary Our Deloitte Regulatory, Risk & Forensic team helps client leaders... ...will perform complex analysis of financial and business records to support Federal... ...as generally prescribed under American Institute of Certified Public Accountants (AICPA)...FinancialRegulatoryLocal area- ...Director in our Emerging Middle Market Coverage Investment Banking... ...to deliver integrated financial solutions tailored to client... ...understanding of financial, legal and regulatory risks relevant to large,... ...one of the oldest financial institutions, offers innovative financial...FinancialRegulatory
$230k - $297.5k
...the world’s leading internet financial platform companies, building... .... Enterprises, financial institutions, and developers use Circle to... ...supporting Circle's global capital markets business — including crypto... ....Ability to identify regulatory, tax, accounting, and other...FinancialRegulatoryContract workImmediate startFlexible hours$128.3k - $200k
...Portfolio Banker - Emerging Middle Market Banking - Vice President... ...relationships and providing financial advice to your clients. A... ...control policies and adhering to regulatory requirements Required... ...one of the oldest financial institutions, offers innovative financial...FinancialRegulatoryFull timeLocal areaFlexible hours$90k - $130k
...Partnerships - Capital Markets /Full time /On-... ...global commerce and financial technology company for... ...operates as the firm's institutional capital platform. The... ...is required.The SIE examination, passed or scheduled,... ...dataEnsuring compliance with regulatory requirementsRights...FinancialRegulatoryFull timeInternshipWork at officeWorldwideFlexible hours- ...Managing Director in our Emerging Middle Market Coverage Investment Banking team, you... ...and product bankers to deliver integrated financial solutions tailored to client needs. Demonstrate... ...understanding of financial, legal and regulatory risks relevant to large, integrated...FinancialRegulatory
- ...relationships and providing financial advice to your clients. A role... ...methodical approach to the market activity and prospecting.... ...control policies and adhering to regulatory requirements Required... ...one of the oldest financial institutions, offers innovative financial...FinancialRegulatoryLocal areaFlexible hours
- The California Department of Financial Protection and Innovation (DFPI) invites applications... ...for a permanent, full-time Financial Institutions Examiner in the Los Angeles office. This role... ...to contribute to a high-profile regulatory environment in California. The...FinancialRegulatoryPermanent employmentFull timeWork at office
$44.28 - $75.42 per hour
PORTFOLIO MANAGER I - Middle Market, Leveraged & Syndications WHAT IS THE OPPORTUNITY... ...of the borrower(s) and guarantor(s)' financials (which may include current and... ...credit risk appetite, and compliance with institutional and regulatory requirements. Collaboration:...FinancialRegulatoryHourly payRemote work$103k - $135k
...We are seeking a highly motivated Financial Services Solutions Marketing Manager to support the go-to-market... ...problems faced by financial institutions. You will work closely with Sales,... ...financial services industry trends, regulatory shifts, and competitive positioning...FinancialRegulatoryWork experience placementRemote workHome officeFlexible hoursShift work$125k - $200k
...investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime... ...SEA) Rule 17a-3, et. seq., Financial Industry Regulatory Authority (FINRA) Rules 3110(e), Rule 4530(a),...FinancialRegulatoryFull timeWork at officeLocal areaImmediate startNight shift$100.5k - $129.5k
## Analyst, Capital Markets & FinanceApplylocations: On-Site - Los... ...(s) without any legal or financial responsibility to the recruiter... ...Development Financial Institution (CDFI) and Community Development... ...trends, economic indicators, and regulatory changes that may impact the...FinancialRegulatoryPermanent employmentFull timeWork experience placementWork at officeLocal area- California Department of Financial Protection and Innovation (DFPI) in Los Angeles is... ..., Full-time Senior Financial Institutions Examiner to join the Escrow Examinations Unit... ...coordinate examinations, address complex regulatory issues, and travel as needed to perform...FinancialRegulatoryPermanent employmentFull timeWork at office
- ...VA, DC)Technical Summary:The Director, Marketing Compliance & Governance provides strategic... ...marketing compliance, governance, and regulatory readiness programs, ensuring all... ...presenting project updates; managing project financials and deliverables; and ensuring projects...FinancialRegulatoryWork experience placementFlexible hours
- ..., Investor Communications & Marketing About the Firm Firm Mission... ...manager of assets for leading institutions around the world. The Firm... ...Compliance to ensure materials meet regulatory guidelines, internal... ...professional experience in financial services, preferably within...FinancialRegulatoryWork at office
$120k - $150k
...Your Role: The Lead Capital Markets Associate is responsible for... ...messaging on the company’s financial performance, strategic initiatives... ...‑facing communication, regulatory compliance, and cross‑functional... ...(deal & non‑deal), and institutional outreach. Prepare investor‑...FinancialRegulatoryCasual work$184k - $224k
...sets us apart in the market, but it’s trust that defines... ...distinctly different financial solutions. The Market... ...community banking institution. What You’ll Do Market... ...compliance with all regulatory requirements, internal... ...will have opportunity to examine and view information...FinancialRegulatoryWork at officeLocal area$77k - $214k
...SummaryThe OpportunityAs a Banking & Capital Markets Tax Senior Associate, you will play a pivotal role in our Financial Services Tax practice, helping clients navigate... ...of tax documents, confirming compliance with regulatory requirements- Analyzing financial statements...FinancialRegulatoryFull timeH1bLocal areaOverseas- ...Marketing CoordinatorAxos Bank is seeking a proactive, detail-oriented... ...with brand guidelines, regulatory standards, and audit requirementsPartner... ..., brand alignment, and financial services advertising... ...federally regulated banking institution. At the federal level, marijuana...FinancialRegulatoryWork at officeLocal area
$155k - $410k
...SectorNot ApplicableSpecialismCMAAS (Capital Markets and Accounting Advisory Services)... ...strategic guidance on technical accounting, financial reporting, transaction structures, and... ...Collaborating with clients to navigate regulatory guidelines and optimize transaction structures...FinancialRegulatoryFull timeH1b$77k - $202k
...SectorNot ApplicableSpecialismCMAAS (Capital Markets and Accounting Advisory Services)... ...strategic guidance on technical accounting, financial reporting, transaction structures, and... ...solutions- Analyzing market trends and regulatory guidelines to inform insights and recommendations...FinancialRegulatoryFull timeH1b$100k - $130k
Senior Digital Marketing Specialist - Kayne Anderson Rudnick Investment Management... ...owned, and earned media, ensuring regulatory compliance and driving brand... ...distinct audiences (e.g., HNW clients, institutions, consultants, financial intermediaries). Performance Marketing...FinancialRegulatoryFlexible hours- NGFCU is recruiting a Senior Marketing Specialist to lead the lending marketing strategy... ...-10+ years in product marketing within financial services and a proven ability to manage... ...across multiple channels, while ensuring regulatory compliance and data-driven decision #J...FinancialRegulatoryRemote job
- ...Angeles, seeks a CMAAS Intern to gain exposure to capital markets and accounting advisory services. You will support... ...environments to grow your personal brand. You will contribute to financial modeling, regulatory reporting, and project coordination while learning from...FinancialRegulatoryInternship
- ...Investment Partners, Inc seeks a Senior Digital Marketing Specialist in Century City, Los Angeles... ...digital marketing strategy and ensures regulatory compliance while driving brand... ...in digital marketing, preferably within financial services, and will manage campaigns...FinancialRegulatory
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