Senior Advisory Compliance Analyst - SEC & Fiduciary Focus
Transamerica
Transamerica is seeking a compliance professional to strengthen its advisory compliance program through oversight of regulatory requirements and risk management. The role involves interpreting SEC rules, fiduciary duties, and Form ADV disclosures, while supporting policy development and training across the firm. The hybrid, Denver-based position collaborates with Legal, Operations, Product, and Supervisory teams to implement compliant product changes and respond to regulatory inquiries. #J-18808-Ljbffr Transamerica
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Senior Advisory Compliance Analyst - SEC & Fiduciary Focus in Denver, CO vacancy
- Transamerica is seeking a seasoned Compliance professional to strengthen and lead testing, monitoring, and regulatory oversight across a... ...supervise control activities, and drive improvements to align with SEC, FINRA, and state requirements. The role requires expertise in...Senior
$90k - $100k
...Job Family Regulatory Compliance About Us At... ...the firm's investment advisory compliance program by... ...Advisers Act of 1940, fiduciary obligations, and SEC regulatory requirements... ..., as well as analysts and other team members... ...nonprofit organizations focused on the things that matter...SuggestedWork at officeRemote workWorldwideVisa sponsorship$85k - $93k
...you! Your opportunity A Senior Analyst role within the... ...coding of logic-based compliance rules into Charles River... ...and other applicable SEC, CFTC and FINRA rules... ...compliance, with a specific focus on fund management and... ...of our Investment Advisory Code of Ethics related...SeniorWork at officeFlexible hoursJanus Henderson Group
Denver, CO4 days ago$89k - $105k
...more complex, and comprehensive advisory needs. Working with a... ...fingertips, anytime and anywhere. The Compliance Specialist will help create... ...apply the requirements of a fiduciary’s duty to serve clients and... ...adviser Deep understanding of SEC Investment Advisers ‘40 Act and...SeniorWork at officeFlexible hoursShift work3 days per week$134.48k - $269.88k
...seeking an experienced Senior Manager to lead delivery... ...Exchange Commission (SEC) reporting environment.... ...related to SEC reporting and compliance mattersServe as the... ...Assurance services are focused on engagements related... ..., Controls & Reporting Advisory, and Specialized Assurance...SeniorWork at officeLocal areaVisa sponsorship$164.6k - $288k
...exceptional service.Serving as Senior Relationship Advisor1.... ...the client’s needs and goals. Focused client service with responsiveness... ...extensive knowledge of fiduciary duties and applicable laws, including... ...development of fiduciary and advisory skills through training and...SeniorFull timeWork experience placementFlexible hours- Turner Construction Company is seeking a Senior Director of Information Services to translate business strategy... ...delivery, enabling transparency and strategic focus across the organization. You will lead an advisory and analytics function, drive governance, and develop...Senior
$126k - $182k
Baker Tilly US is seeking a Manager to join their Transaction Advisory Service team in Denver, Colorado. The role focuses on providing due diligence and transaction advisory services. Candidates with over 5 years in audit or financial advisory are preferred. This position...Senior- ...deliver holistic financial planning, and provide tailored investment guidance aligned with Schwab’s fiduciary standards. You will partner with an experienced advisory team to navigate complex decisions, drive client outcomes, and strengthen long-term retention through...Senior
- ...computing firm is seeking an experienced Consultant to drive advisory work in areas like Finance and Pharmaceuticals. In this senior role, you will partner with enterprise clients, shaping engagements focused on quantum technology. The ideal candidate has over 5 years of...Senior
- ...experienced leader forExternal Reporting to drive SEC filings and financial reporting under US GAAP. The role focuses on preparing, reviewing, and filing 10-K/10-Q/8... ..., enhance disclosure controls, and advance SOX compliance, leveraging technology for process improvements...Senior
- ...Securities, Inc.&Parsonex Advisory Services, Inc.|... ...adviser) Reports To: Chief Compliance Officer Overview Parsonex... ..., licensed Compliance Analyst to support its affiliated... ...efficient, execution‑focused approach to the work. Primary... ...applicable FINRA and SEC requirements, including...Full timeWork at officeMonday to Friday
Parsonex
Englewood, CO2 days ago $124k - $280k
...ApplicableSpecialismCMAAS (Capital Markets and Accounting Advisory Services)Management LevelSenior... ...Markets Accounting Advisory Services - Senior Manager, you will provide strategic... ...topics. Within our Deals practice, you will focus on advising clients on complex accounting...SeniorFull timeH1b$79k - $125k
...and supportive people, willing to listen to your ideas. Our CFO Advisory Services team helps our clients scale for growth and manage... ...financial information Provide technical expertise for US GAAP and SEC requirements including accounting research, documentation, and presentation...SeniorFull timeContract workWork experience placementLocal areaFlexible hours- Software Guidance & Assistance, Inc. (SGA) is searching for a License Advisory Consultant for a CONTRACT assignment with one of our premier SaaS clients. This position is hybrid in Lehi, UT . Also open to Denver, CO. As our customers head into a challenging economic environment...Contract work
$77k - $202k
...ApplicableSpecialismCMAAS (Capital Markets and Accounting Advisory Services)Management LevelSenior... ...Markets Accounting Advisory Services - Senior Associate, you will provide strategic... ...s value. As a Senior Associate, you will focus on building meaningful client connections...SeniorFull timeH1b- ...Manager, Wealth Advisor within Schwab Wealth Advisory (SWA), you are joining a premier, fee‑... ...on the lives of clients, working as a fiduciary within a dedicated Schwab Wealth... ...purpose‑driven, supportive culture, and focus on your development means you’ll get the...SeniorWork at office
- ...DescriptionAECOM is seeking an experienced Senior Regulatory Specialist to function as a... ...regulatory leadership for permitting, compliance, remediation, reclamation, and operational... ...throughout the project lifecycle - from advisory, planning, design and engineering to...SeniorWork at officeLocal areaWorldwideRelocationFlexible hours
- ...forecasting, and scenario planning with a focus on driving enterprise value and supporting executive decision-making. Serve as a senior advisor to CFOs and other C-suite leaders... ...innovation within the Corporate Finance Advisory practice, bringing forward new methodologies...Senior
- ...Senior Customer Success Manager Technosylva is looking for a highly motivated and customer-focused individual to join our team as a Senior Customer Success Manager at Technosylva... ...the product roadmap. Lead customer advisory boards or focus groups to further understand...Senior
- ...matters most. Schwab Wealth Advisory is a fee‑based, non‑discretionary... ...personalized service, and a fiduciary commitment to our clients. As... ...while helping them stay focused on long‑term goals. This role... ...Coachability: Demonstrates a senior learning mindset by seeking input...SeniorWork at office
$227k - $290k
...Services (IS) leadership team, the Senior Director serves as the... ..., consistency, and strategic focus. Essential Duties & Key Responsibilities... ...planning, governance, and advisory practices that improve... ...employee is required to work in compliance with company safety policies,...SeniorWork at officeRemote workLong distance- ...Senior Customer Success Manager Technosylva is looking for a highly motivated and customer-focused individual to join our team as a Senior Customer Success Manager. In this role... ...shape the product roadmap. Lead customer advisory boards or focus groups to further...Senior
$125k - $290k
...service national accounting, advisory and consulting firm with opportunities... ...their ambitions. Weaver focuses on helping people lead... ...a Commercial Tax Manager or Senior Manager with extensive partnership... ...Manager provides federal tax compliance and planning services to...SeniorFlexible hours$108k - $130k
...manages risks, ensuring ongoing compliance throughout the entire... ...for a GRC and IT Compliance Analyst to help support and execute Cleerly... ...faceted specialist function that focuses on GRC, IT compliance, and... ...management, or assurance/advisory experience over IT/IS general...Immediate startRemote work- ...assisting with the implementation and support of the Company's Oversight & Supervision program, including regulatory filings, employee compliance, risk analysis, testing & surveillance, review of records and training. The Oversight & Supervision team utilizes current...Senior
Axos® Clearing, A Subsidiary of Axos Financial
Centennial, CO2 days ago $88k - $133k
...driven by these changes. Riveron’s Accounting Advisory team partners with our clients and their... ...and each of our teams includes active senior level participation to ensure project... ...Financial Accounting, both internal and SEC Reporting, Internal Controls, Internal Audits...SeniorFull timeContract workWork at office- .... Join us.Our management consulting team focuses on our clients’ critical business needs.... ...opportunities.Plante Moran’s Transaction Advisory Services (TAS) team delivers strategic guidance... ...pre-LOI through post-acquisition. As a Senior Consultant, you will focus on buy-side...SeniorFull timeFlexible hoursNight shift
$105.56k - $247.9k
...Bekaert delivers innovative advisory, assurance and tax services to... ...has been created for a Senior Manager to join our high performing... ...A collaborative environment focused on enabling you to further... ...information regarding the firm's compliance with federal, state and local...SeniorWork experience placementLocal areaRemote workCherry Bekaert
Denver, CO1 day ago$99k
JOB REQUISITIONDenver Technology Audit & Advisory Senior ConsultantLOCATIONDENVERADDITIONAL... ...Protiviti, Technology Audit & Advisory focuses on: Helping clients better manage risks... ...Technology Resilience IT Sarbanes-Oxley Compliance Emerging Technologies 2nd Line Controls...SeniorFull timeTemporary workWork at officeLocal areaRemote workFlexible hours
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Advisory Compliance Analyst - SEC & Fiduciary Focus. Be the first to apply!
Related searches
- regulatory affairs specialist Denver, CO
- medicare compliance specialist Denver, CO
- regulatory compliance analyst Denver, CO
- compliance specialist Denver, CO
- aml compliance analyst Denver, CO
- regulatory officer Denver, CO
- healthcare compliance officer Denver, CO
- regulatory analyst Denver, CO
- regulatory specialist Denver, CO
- compliance associate Denver, CO