Senior Broker-Dealer Regulatory Counsel
Edward Jones HQ
Edward Jones is seeking an experienced attorney to join its Legal-US Business Segments and Branch Support team in Tempe, Arizona. This role involves providing legal guidance on broker-dealer operations and compliance, working closely with various teams to navigate complex regulatory issues. The ideal candidate will possess a Juris Doctorate, be licensed in Missouri, and have at least ten years' experience in private practice, with a strong background in broker-dealer regulations and wealth management. #J-18808-Ljbffr Edward Jones
$159k - $305k
...Senior Lead Compliance Officer Wells Fargo is seeking a highly experienced Senior... ...control of room operations and adherence to regulatory expectations. In this role, you will... ...~8+ years' experience in a bank or broker-dealer Control Room function ~ Deep expertise...SeniorRegulatoryWork experience placement$138.5k - $287.6k
...Senior Lead Digital Product Manager Wells Fargo is seeking a Senior Lead Digital Product Manager in Merchant Services as part of... ..., and require consideration of global market dynamics, trends, regulatory impact, and risk management Articulate product vision, define...SeniorRegulatoryWork experience placementRelocation package- Role Summary The Investor Accounting Senior Analyst is an intermediate‑level position within the Investor Accounting group. The Senior... ...team members Support year‑end financial reporting, audits, and regulatory deliverables Identify and implement process improvements and...SeniorRegulatoryWork at office
- ...compliance and accuracy of critical client documentation. This senior role involves thorough reviews of complex legal documents and managing... ..., strong analytical skills, and a deep understanding of regulatory requirements. Opportunities for professional growth and a competitive...SeniorRegulatory
$178.85k - $234.74k
...Job Description Job Description Hi, we're Oscar. We're hiring a Senior Counsel, Vendor Management and Contracting to join our Corporate Counsel team. Oscar is the first health insurance company built around a full stack technology platform and a relentless focus...SeniorFull timeContract workWork at officeFlexible hours- A leading multidiscipline consulting firm seeks a Senior Scientist, Engineer, or Geologist in Tempe, AZ, specializing in NEPA procedures... ...development. Ideal candidates have extensive experience with regulatory processes, a relevant bachelor's degree, and strong...SeniorRegulatory
- ...aligned with various standards. The role involves conducting risk assessments, managing audits, and ensuring adherence to legal and regulatory requirements. Candidates should have 3-5+ years of relevant experience and a strong understanding of compliance frameworks. This...SeniorRegulatory
- ...their Compensation Operations team in Tempe, Arizona. The role involves processing multi-state payrolls, ensuring compliance with regulatory statutes, and managing internal controls. Candidates should have a bachelor's in Accountancy, strong analytical skills, and...SeniorRegulatory
- A major financial institution is seeking a Senior Consultant for Due Diligence in Third Party Risk Management in Tempe, AZ. This position... ...lifecycle of third party engagements, ensuring compliance with regulatory standards, and leading improvement initiatives. Ideal...SeniorRegulatory
- ...Manager. This role requires 3-5+ years of experience in compliance, governance, or risk management, with a strong grasp of relevant regulatory frameworks. Responsibilities include developing compliance programs, conducting risk assessments, and overseeing training...SeniorRegulatory
- A prominent financial institution is seeking a Senior Consultant for Incident Management within Third Party Risk Management in Tempe,... ...experience, including familiarity with vendor risk management and regulatory requirements, are essential. This position offers a dynamic...SeniorRegulatory
- ...internally. This role requires excellent analytical and communication skills as you will work closely with clients and maintain regulatory standards. Ideal candidates should have over 5 years of relevant experience and a bachelor's degree in English or legal studies....SeniorRegulatory
$75k
Mohr Talent in Tempe, AZ is seeking a Client Services Principal to serve as a senior contributor in the Account Services function, overseeing principal review and regulatory compliance. The ideal candidate will have over 5 years of experience in financial services operations...SeniorRegulatoryWork at officeRemote work$67.81k - $89k
A healthcare company in Tempe, Arizona, is seeking a Senior Analyst for UM Regulatory Operations to enhance processes and compliance initiatives. You will manage projects, collaborate with cross-functional teams, and ensure regulatory adherence while supporting audits....SeniorRegulatory- ...and build lasting relationships in business banking, leveraging your expertise to recommend tailored solutions while adhering to regulatory requirements. Strong knowledge of merchant services and excellent communication skills are essential. A competitive rewards package...SeniorRegulatory
- Salt River Project is seeking a Senior Large Business Account Manager in Tempe, AZ. This role entails being the primary contact for large... ..., providing guidance on energy use technologies, and ensuring regulatory compliance. The position offers a hybrid workplace, allowing...SeniorRegulatoryRemote work3 days per week
- Kestra is seeking a skilled accounting professional in Tempe, Arizona, to perform complex analyses and manage financial and regulatory audits. The ideal candidate will possess a Bachelor's degree in Accounting or Finance, with 5+ years of relevant experience. Applicants...SeniorRegulatory
- A global financial institution is seeking a Senior Consultant for Concentration Risk Management in Tempe, AZ. This role involves overseeing... ...third-party risk management and ensuring compliance with regulatory requirements. The ideal candidate will have a Bachelor's degree...SeniorRegulatory
- ...and a minimum of 8 years in medical leadership, the role includes engaging with cross-functional teams and stakeholders, managing regulatory compliance, and fostering relationships in the medical device industry. A competitive salary range is offered, emphasizing...SeniorRegulatory
$86.4k - $108k
...analysis or financial planning. Responsibilities include market pricing evaluations, collaborating with sales teams, and performing regulatory compliance assessments. Offering a competitive salary of $86,400 - $108,000 annually, along with a comprehensive benefits package...SeniorRegulatory- A leading engineering firm is seeking a Senior Project Manager to lead the planning, design, and implementation of transit projects.... ...will oversee multi-disciplinary teams, ensuring compliance with regulatory requirements and managing budgets and schedules. Key qualifications...SeniorRegulatory
- A global leader in environmental consulting is seeking a Senior Geotechnical Engineer to join their Tempe, AZ team. The role involves... ...years of relevant experience, and the ability to coordinate with regulatory agencies. This position offers opportunities for growth and...SeniorRegulatory
- ...group is looking for a Data Risk Vice President in Tempe, AZ. This senior role focuses on managing and overseeing data risk policies and... ..., engaging with stakeholders, and ensuring compliance with regulatory requirements. This position offers a competitive salary and benefits...SeniorRegulatory
- A leading automotive company in Tempe, Arizona, is hiring a Senior Associate in Real Estate. This role involves managing acquisitions and optimizing a large real estate portfolio supporting a significant annual revenue business. Candidates should have 5-10 years of experience...Senior
- Salt River Project is seeking a Senior Facilities Project Manager in Tempe, AZ. This role involves overseeing complex projects, managing cross-functional teams, and ensuring compliance with regulatory standards. Candidates should have a relevant bachelor's degree and experience...SeniorRegulatory
$80k - $120k
...with carriers. Communicate proactively to manage expectations and timelines. Documentation & Compliance Ensure all claims meet regulatory, carrier, and contractual requirements. Track key deadlines, submission milestones, and follow‑up tasks. Maintain audit‑ready...RegulatoryFull timeFor contractorsCasual workWork at officeAfternoon shift- A roofing company is seeking an experienced Insurance Specialist to manage the insurance claims process from post-inspection through job scope finalization. The ideal candidate has over 3 years of experience in roofing claims and thorough knowledge of Xactimate for efficient...Senior
- ...secure digital experiences. As Sr Operational Risk & Compliance Specialist, you will guard our members' financial trust, reinforce regulatory integrity, and fuel continuous improvement by turning complex investigations into true insights. Your work protects the customer,...SeniorRegulatoryFlexible hours
- ...Description Position Overview We are seeking a seasoned Senior Electrical Superintendent to oversee electrical operations on... ...quality control measures to ensure adherence to technical and regulatory specifications. Resolve issues proactively, including technical...SeniorRegulatoryFor contractorsFor subcontractorLocal areaWeekend workAfternoon shift
- ...product capabilities Adhere to and ensures client's compliance with risk policies/practices and educates clients on new legal / regulatory / Cyber changes Required qualifications, capabilities, and skills: 5 years of relevant industry and/or functional experience Intermediate...SeniorRegulatoryFlexible hours
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