Current jobs related to Compliance Associate - Newport Beach - Madison-Davis, LLC

  • Compliance Associate

    4 weeks ago

    Newport Beach, United States Hyundai Capital America Full time

    About Hyundai Capital AmericaAt Hyundai Capital America, we're committed to creating a diverse and inclusive culture for our workforce. We believe that success comes from within and are proud to support our team members through skill development and career advancement.Our MissionWe strive to be the leader in financing freedom of movement. We provide vehicle...

  • IT Governance and Compliance Associate

    7 days ago

    Newport Beach, California, United States Hyundai Capital America Full time

    Job SummaryThe IT Governance and Compliance Associate will play a crucial role in ensuring compliance with all relevant laws, regulations, and internal policies within the Digital Division's IT Governance, Risk and Compliance area of Hyundai Capital America. This position involves developing and implementing compliance strategies and policies, identifying...

  • Compliance Associate IT Governance

    2 weeks ago

    Newport Beach, California, United States Hyundai Capital America Full time

    Job SummaryThe IT Governance, Risk and Compliance Associate will play a crucial role in ensuring compliance with all relevant laws, regulations, and internal policies within the Digital Division's IT Governance, Risk and Compliance area of Hyundai Capital. This position involves developing and implementing compliance strategies and policies, identifying...

  • Associate, IT Governance, Risk and Compliance

    2 months ago

    Newport Beach, United States Hyundai Capital America Full time

    DescriptionWho We Are Through our service brands Hyundai Motor Finance, Genesis Finance, and Kia Finance, Hyundai Capital America offers a wide range of financial products tailored to meet the needs of Hyundai, Genesis, and Kia customers and dealerships. We provide vehicle financing, leasing, subscription, and insurance solutions to over 2 million consumers...

  • Associate, IT Governance, Risk and Compliance

    2 months ago

    Newport Beach, United States Hyundai Capital America Full time

    Description Who We Are Through our service brands Hyundai Motor Finance, Genesis Finance, and Kia Finance, Hyundai Capital America offers a wide range of financial products tailored to meet the needs of Hyundai, Genesis, and Kia customers and dealerships. We provide vehicle financing, leasing, subscription, and insurance solutions to over 2 million consumers...

  • Associate, IT Governance, Risk and Compliance

    4 weeks ago

    Newport Beach, United States Hyundai Capital America Full time

    DescriptionWho We Are Through our service brands Hyundai Motor Finance, Genesis Finance, and Kia Finance, Hyundai Capital America offers a wide range of financial products tailored to meet the needs of Hyundai, Genesis, and Kia customers and dealerships. We provide vehicle financing, leasing, subscription, and insurance solutions to over 2 million consumers...

  • Compliance Specialist

    4 weeks ago

    Newport Beach, California, United States Research Affiliates Full time

    Job Title: Compliance AssociateWe are seeking a highly motivated and detail-oriented Compliance Associate to join our team at Research Affiliates. As a Compliance Associate, you will play a critical role in supporting our investment adviser compliance program and ensuring that our firm remains compliant with all relevant regulatory requirements.Key...

  • Compliance Specialist

    2 weeks ago

    Newport Beach, California, United States Research Affiliates Full time

    Job Title: Compliance AssociateWe are seeking a highly motivated and detail-oriented Compliance Associate to join our team at Research Affiliates. As a Compliance Associate, you will play a critical role in supporting our investment adviser compliance program and ensuring that our firm remains in compliance with all relevant regulatory requirements.Key...

  • Compliance Specialist

    2 weeks ago

    Newport Beach, California, United States Research Affiliates Full time

    Job Title: Compliance AssociateWe are seeking a highly motivated and detail-oriented Compliance Associate to join our team at Research Affiliates. As a Compliance Associate, you will play a critical role in supporting our investment adviser compliance program and ensuring that our firm remains compliant with all relevant regulatory requirements.Key...

  • Senior Tax Associate

    3 days ago

    Newport Beach, California, United States COPE Staffing Full time

    Tax Senior AssociateWe are seeking a highly skilled Tax Senior Associate to join our Tax team at Geometric. As a Tax Senior Associate, you will work closely with our Tax team and Wealth Advisors to provide comprehensive tax services to our clients.Tax ComplianceKey responsibilities include:Preparing and reviewing federal and state returns, as well as any...

  • Retail Compliance Associate, South Region

    4 weeks ago

    Apollo Beach, Florida, United States Verano Holdings, LLC Full time

    Job Title: Retail Compliance Associate, South RegionAt Verano Holdings, LLC, we are seeking a highly skilled and experienced Retail Compliance Associate to join our team in the South Region. As a key member of our compliance team, you will be responsible for ensuring our cannabis dispensaries remain compliant with all applicable laws, rules, and...

  • Sales Associate

    2 weeks ago

    Newport Beach, California, United States pacsun Full time

    About the RoleThe Sales Associate is a key member of our Pacsun team, responsible for delivering an exceptional customer experience and driving sales through product knowledge and passion. As a Sales Associate, you will be the face of our brand, working closely with customers to understand their needs and provide personalized recommendations.Key...

  • Portfolio Associate

    2 weeks ago

    Newport Beach, California, United States PIMCO Full time

    Portfolio Associate Job DescriptionPIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers...

  • Investment Associate

    4 weeks ago

    Newport Beach, California, United States Invesco Full time

    Job Title: Investment AssociateJoin Invesco, a leading asset manager, as an Investment Associate and contribute to the management and oversight of various commercial and multifamily real estate investments. Your primary goal will be to optimize asset performance and values.Key Responsibilities:Partner with Asset Managers to develop and execute...

  • Portfolio Associate

    2 days ago

    Newport Beach, California, United States PIMCO Full time

    PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the...

  • IT Compliance Specialist

    3 weeks ago

    Daytona Beach, Florida, United States Brown & Brown Full time

    IT Compliance Lead Job DescriptionBrown & Brown is a leading independent insurance intermediary that values a meritocratic culture, rewarding self-starters and those committed to excellence. As a company, we strive to provide the best possible service to our customers, and our unique culture reflects this commitment.We are seeking an IT Compliance Lead to...

  • IT Compliance Lead

    1 month ago

    Daytona Beach, United States Brown & Brown Full time

    Built on meritocracy, our unique company culture rewards self-starters and those who are committed to doing what is best for our customers. Built on meritocracy, our unique company culture rewards self-starters and those who are committed to doing what is best for our customers. Brown & Brown is an independent insurance intermediary that through its licensed...

  • Payment Servicing Associate

    1 week ago

    Newport Beach, United States LH Global Consulting Full time

    Job OverviewThe Payment Servicing Associate is responsible for supporting the Payment Servicing Team by processing requests received through various channels. This role ensures timely completion of tasks, adherence to company policies, and compliance with stated workflows and regulations. The ideal candidate will possess flexibility and adaptability to meet...

  • Retail Compliance Associate, South Region

    1 month ago

    Apollo Beach, United States Verano Holdings, LLC Full time

    **Retail Compliance Associate, South Region** at Verano Holdings Apollo Beach, FL **Retail Compliance Associate (South Region)** **Summary** This role is responsible for ensuring our cannabis dispensaries remain compliant with all applicable laws, rules and regulations. Qualified individuals will demonstrate experience as a compliance leader in a...

  • IT Compliance Specialist

    4 weeks ago

    Daytona Beach, Florida, United States Brown & Brown Full time

    IT Compliance Lead Job DescriptionBrown & Brown is a leading independent insurance intermediary that values a meritocratic culture, where self-starters and those committed to excellence thrive. Our company culture is built on a foundation of integrity, innovation, and customer-centricity.We are seeking an experienced IT Compliance Lead to join our team. As a...

Compliance Associate

5 months ago

Newport Beach, United States Madison-Davis, LLC Full time

A leading institutional alternative asset manager based in Newport Beach, CA looking for a "Compliance Associate". This firm is currently in a hybrid model (2 days in office).


Responsibilities:

• Assist in all aspects of the administration of Rule 206(4)-7 compliance programs, as needed.

• Administrative support of compliance daily operations and participating in compliance group projects and initiatives.

• Support the periodic review and distribution of compliance policies and procedures.

• Maintains professional and technical knowledge by researching regulatory changes.

• Assist with FINRA WebCRD filings for the firm and its registered representatives.

• Monitor social media.