Senior Compliance Officer — Investments & SEC Regulation
Blacklock Group
Blacklock Group in Arizona is seeking a Compliance Officer to join a hands-on team reporting to the CCO. The role spans wealth management and investment activities, focusing on regulatory compliance, monitoring, and governance. You will work closely with investment and operations teams to ensure adherence to SEC rules and Advisers Act requirements, including ethics administration and third-party oversight. #J-18808-Ljbffr Blacklock Group
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Senior Compliance Officer — Investments & SEC Regulation in Phoenix, AZ vacancy
$92.45k - $114.2k
Job Title:Senior Compliance OfficerLocation:CA - Westlake VillageWhat you'll do:As a Senior Compliance Officer in the Second Line of Defense, you'll review and analyze information... ...in compliance with internal policy or regulations and provide effective challenge to the...SeniorFull time- ...Headfarmer is seeking a Manager of SEC Reporting & Technical Accounting to lead external financial reporting under US GAAP and SEC... ...and a CPA. You will supervise one direct report and interact with senior leadership, including CFO and CEO, with visibility across the organization...Senior
Headfarmer LLC
Phoenix, AZ2 days ago - Humana is seeking a Senior Professional for Risk and Compliance in Phoenix, AZ to oversee risks associated with Medicaid programs and ensure adherence to MHPAEA regulations. Responsibilities include risk management strategy development, conducting assessments, and collaborating...SeniorRemote job
- Senior Compliance SpecialistInspired by faith. Driven by innovation. Powered by humankindness. CommonSpirit Health is building a healthier... ...auditing skills, a deep understanding of healthcare compliance regulations, and the ability to effectively communicate findings and...Senior
- ...Bank, a subsidiary of Western Alliance Bancorporation, seeks a Senior Business Unit Reporting Analyst to analyze portfolio loans and... ...improve data quality, and support credit decision-making in a regulated banking environment. #J-18808-Ljbffr Western Alliance BancorporationSenior
- ...clinical safety processes for LDT and medical device studies in a regulated healthcare environment. You will lead safety planning, adverse... ..., risk assessments, and safety reporting, ensuring regulatory compliance. You will partner with cross-functional teams to align...Senior
$260k - $365k
...time employment opportunity for a senior level Associate in the Financial Regulatory & Compliance Practice. They can be based in... ..., Atlanta, Phoenix or Dallas office. We offer competitive compensation... ...financial services laws and regulations (e.g., BSA/AML, sanctions, third...SeniorFull timeTemporary workWork at officeFlexible hours$365k - $400k
...time employment opportunity for a senior level Associate in the Financial Regulatory & Compliance Practice. This position can be... ...where the Firm maintains an office, subject to business needs and... ...key financial services laws and regulations (e.g., TILA, RESPA, UDAAP/UDAP,...SeniorFull timeTemporary workWork at officeFlexible hours- ...financial advisors by researching goals, risk profiles, and investment options, and by preparing detailed plans and documents.... ...data securely, schedule meetings, and help ensure compliance with industry regulations while delivering accurate, actionable financial planning...Senior
$90k - $115k
...is committed to an in-office culture with specific... ...manner for submission to regulators and/or law... ...the investigation to senior stakeholders, assisting... ...potential operational or compliance risks and partners with... ...experience, including investment experience/work and/or...SeniorFull timeWork at officeShift workDay shift- Western Alliance Bank is seeking a Compliance Consultant on a contract-to-hire basis. You will review information to ensure compliance with internal policies and regulations, support the Compliance Management System, and advise on policies, risk assessments, and controls...SeniorContract work
- ...complex business issues all while investing in and supporting our people... ...individuals, and family offices. We also specialize in serving... ...schedule whenever possible.As a Tax Senior Manager / Principal with HCVT... ...valuable consulting and compliance services to entrepreneurial...SeniorFull timeWork at officeRemote work
- ...The Senior Accountant’s responsibilities include preparing... ...for reviewing investment portfolio transaction... ...to enhance reporting, compliance and operational efficiency... ...in Microsoft Office, particularly with Excel... ...federal and state tax laws/regulations Working knowledge within...SeniorWork at officeFlexible hours
Trinity Capital LLC
Phoenix, AZ1 day ago - Job Title:Senior Financial Risk AnalystLocation:CityScapeWhat you... ...FRM focuses specifically on Investment Portfolio, Mortgage... ...reports, and assist in ensuring compliance with internal policies and regulatory... ...obligations, rules and regulations, industry standards and...SeniorFull time
$81.13k - $164.57k
...nothing is more important than investing in our culture because it is... ...KPMG is currently seeking a Senior Associate to join our... ...Responsibilities: Provide tax compliance and advisory services to... ...complies with all local/state regulations regarding displaying salary...SeniorLocal areaKPMG
Phoenix, AZ15 hours ago- ...Wells Fargo is seeking a Senior Lead Private Wealth... ...delivering sophisticated investment solutions to High Net... ...advisors, trust officers, and other specialists... ...Originator requirements under Regulation Z (LO) outlined in the... ...objectives.Maintain compliance with applicable...SeniorFull timeWork experience placementWork at office
$89k - $133k
...every day. In this role, the Sr. Export Compliance Officer will be a trusted advisor to Honeywell... ...in the Export Administration Regulation (EAR) and the International Traffic in... ...anywhere else. Focusing on our customers, investing in innovation, and building a culture...SeniorPermanent employmentTemporary workWork experience placementWorldwideFlexible hours- ...comprehensive planning with tailored investment strategies. The firm focuses... ...goals. Role Description The Senior Financial Advisor is a full-... ...reports, maintaining compliance with regulatory requirements... ...current with industry regulations, products, and best practices...SeniorFull timeTemporary work
$131k - $185k
...&A integration timelines and investment priorities* Identify and communicate... ..., our agile teams across 52 offices in 12 countries collaborate... ...base salary pay range for Senior Consultant in Silicon Valley... ...to pay transparency and compliance with applicable laws. If you...SeniorTemporary workLocal area$90k - $115k
...is committed to an in-office culture with specific... ...manner for submission to regulators and/or law enforcement... ...the investigation to senior stakeholders,... ...potential operational or compliance risks and partners with... ...experience, including investment experience/work and/or...SeniorWork at officeShift workDay shift- ...TPRM) process to gather details on the security practices and compliance levels for each third party being considered or contracted... ...identify business risks and control gaps Strong knowledge of Regulations, Frameworks, and Standards such as NIST 800-171/CSF/RMF, ISO2...SeniorImmediate startFlexible hours
Gilder Search Group
Phoenix, AZ3 hours ago $116.16k - $195.98k
...Intel Foundry APTM Central Senior Analyst -- Gr. 8Business Group... ...analysis to evaluate investment alternatives, cost reduction... ...Controls and Governance• Ensure compliance with Intel financial policies... ...characteristic protected by local law, regulation, or ordinance.Position of...SeniorFull timeLocal areaImmediate startShift work- NBT Bank seeks a Compliance Specialist III to prepare complex compliance and government filings in line with company standards. The role... ...of related experience and the ASPPA QKA designation. Strong MS Office skills and mathematical proficiency are essential for success in...Senior
- ...Responsibilities Oversee tax compliance, planning, and advisory... ...relationships with attorneys, bankers, investment professionals, and other... ...and state tax laws and regulations. Proficiency with tax... ...Hybrid schedule combining office-based and remote work. Position...SeniorPermanent employmentWork at officeLocal areaRemote workVisa sponsorship
Elevated Hires
Phoenix, AZ21 days ago - ...BridgePort is seeking an experienced Private Wealth Advisor to serve high-net-worth clients with sophisticated investment advice, planning, and long-term relationship management. This role acts as a trusted advisor, supports growth through client acquisition, and mentors...Senior
EPC Eneric Petroleum Corp.
Phoenix, AZ4 days ago $67.34k - $92.6k
...reliability to customers. Role Purpose Our Senior Cost Analyst is responsible for... ..., including analysis of capital investments with return metrices (ROI, IRR & Payback... ...internal control systems and ensure compliance to local regulations, Sarbanes Oxley requirements, US...SeniorFull timeLocal areaCorning Incorporated
Phoenix, AZ1 day ago$110k
...monthly balance sheet reconciliations, including bank, investment, petty cash, and credit card accounts. Review... .... Monitor accounting controls and procedures for compliance with GAAP and applicable regulations. Identify opportunities to improve accounting processes...SeniorContract workLocal areaFlexible hoursJobot
Phoenix, AZ1 day ago- ...smooth financial operations. Schedule and process weekly vendor payments. Promote Suntec's core principles to cultivate a collaborative, accountable work culture and create an ESOP mindset that emphasizes ownership, teamwork, and long‑term investment. #J-18808-Ljbffr...SeniorWeekly pay
Suntec Concrete
Phoenix, AZ2 days ago - ..., including account analysis and scheduling Ensure compliance with GAAP and applicable federal/state regulations Identify and implement process improvements, automation... ...with ERP systems preferred Exposure to auditing, SEC reporting, or SOX compliance a plus Strong Excel...Senior
Sol Rise Staffing
Phoenix, AZ3 days ago - ...procedures Provides leadership with comprehensive reports of compliance-focused activities and outcomes, as requested.... ...Information System Security Assessment, Compliance Audit with Regulations, Frameworks, & Standards ~ Bachelor's degree in Information...SeniorFor contractorsImmediate startFlexible hours
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Compliance Officer — Investments & SEC Regulation. Be the first to apply!
Related searches
- regulatory specialist Phoenix, AZ
- compliance officer Phoenix, AZ
- coding compliance specialist Phoenix, AZ
- aml compliance analyst Phoenix, AZ
- trade compliance specialist Phoenix, AZ
- compliance analyst Phoenix, AZ
- information security compliance analyst Phoenix, AZ
- senior compliance officer Phoenix, AZ
- medicare compliance specialist Phoenix, AZ
- regulatory officer Phoenix, AZ