- 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
- City National Bank (Phoenix, AZ)
- …for new or revised laws and regulations. * Assist the Compliance Manager, Senior Compliance Officer , and Risk Assessment team with the evaluation of ... results and lead line of business to remediation plans. * Works with Senior Compliance Officer , Compliance Manager to maintain audit tracking logs… more
- Honeywell (Phoenix, AZ)
- Sr . Export Compliance Officer will report directly to the Director of Export Compliance and will have the flexibility to work on a hybrid schedule from ... Controls program, with a primary focus on ensuring Honeywell maintains a best-in-class compliance program in accordance with the US Arms Export Control Act and… more
- City National Bank (Phoenix, AZ)
- * COMPLIANCE OFFICER SENIOR -MORTGAGE ORIGINATION* 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 area compliance with applicable laws and… more
- Edward Jones (Tempe, AZ)
- …with financial advisors, branch staff, leaders, peers, and others in the firm. A Senior Compliance Officer has a relatively broad responsibility to deal ... If so, there is an exciting career opportunity waiting for you in our Compliance Service Department! The Compliance Service Department's purpose is to serve as… more
- Honeywell (Phoenix, AZ)
- As a ** Sr Export Compliance Officer ** here at Honeywell, you will play a crucial role in ensuring that our company operates within the boundaries of export ... laws and regulations while maintaining a strong culture of compliance . You will work out of one of our...the company's adherence to import and export controls, customs compliance , and international trade transactions, minimizing risk and cost… more
- 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
- 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
- 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 ... Come build the future of pharmacy with us. **Job Posting Title** Senior Compliance Analyst (Risk Assessment and Oversight) - Remote **Job Description** The … 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 ... career? Come build the future of pharmacy with us. **Job Posting Title** Senior Compliance Analyst - Remote **Job Description** The Senior Compliance … more