- Edward Jones (Tempe, AZ)
- …Compliance Division of Edward Jones seeks a qualified individual to serve as a Senior Compliance Officer within the firm's Trading and Market Surveillance ... + 5+ years securities industry experience with minimum 3+ years in a compliance capacity or surveillance, trading or capital markets experience. + Series 7, 9,… more
- City National Bank (Phoenix, AZ)
- * COMPLIANCE OFFICER SENIOR * WHAT IS THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing and maintaining ... assigned areas of the compliance program covering US Mortgage Banking including monitoring business...program covering US Mortgage Banking including monitoring business area compliance with applicable laws and regulations, ensuring controls are… more
- Prime Therapeutics (Phoenix, AZ)
- …prepare and maintain records and related documentation for reporting to the Chief Compliance Officer , Prime's senior leadership team, executives, Corporate ... Title** Sr. Compliance Analyst - Remote **Job Description** The Senior Compliance Analyst assists in the implementation of Prime's compliance programs… more
- USAA (Phoenix, AZ)
- …Be part of what truly makes us special and impactful. **The Opportunity** The **VP, Senior Financial Officer (SFO) for Property & Casualty (P&C)** leads a team ... external material reported to Board of Directors, rating agencies, regulators, and senior management. This function is the integral financial resource for line of… more
- Wells Fargo (Tempe, AZ)
- **About this role:** Wells Fargo is seeking a ** Senior Lead Operational Risk Officer ** within Technology Risk Management. You'll provide second line oversight of ... clear, actionable insights and reporting on cybersecurity risk exposures to senior management, risk committees, and regulatory bodies. + Stakeholder Engagement:… more
- RTX Corporation (Tucson, AZ)
- …that create a safer, more secure world. Our cybersecurity team is seeking a ** Senior Information Systems Security Officer (ISSO)** to support our team **100% ... policies. **What You Will Do** + Assessing and monitoring system compliance , auditing, security plan development and delivering information systems security… more
- HUB International (Phoenix, AZ)
- …investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible, senior leadership position, reporting ... into the Global/Executive Chief Compliance and Risk Officer , working closely with RPW senior leadership...SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth**… more
- Edward Jones (Tempe, AZ)
- …businesses, charitable organizations, and private foundations. **What You Will Do:** The Senior Trust Tax Officer is responsible for fiduciary tax return ... Assisting the Trust Tax Team Leader in ensuring continued regulatory and statutory compliance in all aspects of fiduciary duties, responding to branch team, client,… more
- United Therapeutics (Phoenix, AZ)
- … Corporate Compliance Director, Risk Management reports to the Chief Compliance Officer and is responsible for leading the Department's risk management ... activities. The Senior Corporate Compliance Director will develop the auditing and monitoring strategy for the Department, and will lead the execution of the… more
- Coinbase (Phoenix, AZ)
- …be doing (ie. job duties):* * Serve as trusted partner to the Chief Compliance Officer , driving strategic and operational alignment across the Compliance ... Attendance is expected and fully supported. The CCO leads Coinbase's global compliance strategy, ensuring the company meets regulatory obligations while enabling the… more