Senior Supervisory Principal (Series 7/24) — Financial Compliance
AtWork
A financial firm in San Diego is seeking a Supervisory Principal to oversee advisors and manage compliance processes. The ideal candidate must hold FINRA Series 7 and 24 certifications, along with 2+ years of supervisory experience. Responsibilities include transaction review, conducting monthly risk reports, and addressing advisor training needs. This is a full-time position with a competitive salary range of $100,000 to $110,000 annually.#J-18808-Ljbffr
Vacancy posted 13 hours ago
Similar jobs that could be interesting for youBased on the Senior Supervisory Principal (Series 7/24) — Financial Compliance in San Diego, CA vacancy
$100k - $110k
...Financial Firm in San Diego looking for a Supervisory Principal with a Series 7 and Series 24 to perform these duties: First-line supervisory responsibility for assigned... ...for suitability Requirements: ~2+ years compliance, supervision, or surveillance experience...PrincipalFinancialFull timeImmediate startAtWork
San Diego, CA13 hours ago$103.6k - $155.4k
...areasAssists in preparing for internal and external audits and/or compliance reviewsAssists with maintaining Cost & Schedule integration... ...experience in business administration, finance, accounting, financial analysis, and/or industry related field OR Master's degree with...PrincipalFinancialSeniorFull timeWork at officeRemote workRelocation packageFlexible hoursShift work- ...business consulting, tax and financial services. In certain... ...accounting or related field1 year supervisory experienceCPA certification... ...witness exhibits.Litigation Seniors contribute to activities at... ...monitor client issues related to compliance services and monitor...FinancialSenior
$78.68k - $132.69k
...parties for level of risk to the organization’s financial plans and goals for growth. This position exists to ensure compliance with regulatory requirements, such as NYDFS.... ...outcomes of regulatory audits and exams. SUPERVISORY RESPONSIBILITIES This position has no...FinancialSeniorFull timeContract workWork at officeLocal area$152.61k - $273.18k
...OF THE JOBThe purpose of the Senior Managing Litigation Attorney... ...by attorneys to ensure compliance with defense counsel guidelines... ...assists with budget planning, financial measures and results. The... ...solution to complex problems.SUPERVISORY RESPONSIBILITIESDirectly supervises...FinancialSeniorFull timeLocal areaWork from home$63.4k
...Works under the direction of a Supervisory Legal Assistant to review files and documents... ...appropriate processing and routing. Obtain financial and statistical information for an... ...payment for each hour you work to ensure compliance with the minimums set forth by the act....FinancialSeniorHourly payFull timeContract workWork at officeLocal area$80.05k - $165k
...Responsible for leading Cybersecurity and IT governance, risk, and compliance efforts, including the establishment and maintenance of IT... ...security frameworks such as ISO 27002, NIST 800 series, or financial services regulatory frameworks such as the FFIEC IT booklets...FinancialSeniorFull timeWork at office- ...Northrop Grumman Aeronautics Systems seeks a Senior Principal Software Engineer – AI Software to lead strategy, architecture, and hands-... ...collaboration across product, platform, data, security, and compliance to drive measurable business outcomes in a highly regulated...PrincipalSenior
Northrop Grumman
San Diego, CA13 hours ago - ...Description Job Description Title: Senior Operations and Compliance Manager Department:... ...federal regulations, and ensuring financial and programmatic accountability. This... ...setting. At least 2 years in a supervisory or leadership role. Experience in...FinancialSeniorFull timeLocal area
VETERANS VILLAGE OF SAN DIEGO, INC
San Diego, CA14 days ago $230k - $297.5k
...Circle is seeking a Senior Counsel on the Product Legal team to provide strategic legal... ...initiative. This role involves advising on compliance and regulatory matters while working... ...legal experience, and expertise in U.S. financial regulations. The position offers a competitive...FinancialSeniorCIRCLE
San Diego, CA2 days ago$88.8k - $133.2k
...role involves managing corporate securities activities, ensuring compliance, and supporting corporate transactions. Ideal candidates will... ...range of $88,800 - $133,200, along with comprehensive benefits including health, financial options, and 401K. #J-18808-Ljbffr...FinancialSeniorPetco
San Diego, CA2 days ago$46 - $56 per hour
...Description Centurum is seeking a Senior Acquisition Specialist to... ...related documentation to ensure compliance with all aspects of the DoD and SECNAV 5000 series directives. Support the development... ..., system acquisition, financial management, test and evaluation...FinancialSeniorFull timeContract workWork at officeCenturum
San Diego, CAa month ago- ...Senior Counsel - Regulatory Primary Purpose Advises on complex legal issues and develops... ...business growth while managing compliance and risk exposure. Leads the provision of... ...agencies, ensuring compliance while minimizing financial penalties and reputational damage. Oversees...FinancialSenior
National City Chamber of Commerce NCCC
San Diego, CA2 days ago $157k - $235k
...seeking multiple Client Partners at the Senior Principal level to support continued growth... ...Public & Social Impact, Technology, and Financial Services.As a Client Partner, Senior Principal... ...are committed to pay transparency and compliance with applicable laws. If you have...PrincipalFinancialSeniorContract workTemporary workLocal area$200k - $230k
...What you will be doing at XCOM RAN by Globalstar As a Principal / Senior Staff Software Engineer , you will lead a high performing team... ...Work/Life Balance: Paid Time Off, Paid Holidays Financial Benefits: 401(k) Plan with Company Match, Employee Stock Purchase...PrincipalFinancialSeniorFull timeTemporary workWork at office$97.5k - $127.5k
...Circle is seeking a Senior Analyst to join its Compliance Operations team in San Diego, California. This role involves conducting KYC reviews and AML... ...and analytical skills. Circle champions an inclusive financial future, and the compensation for this position is between...FinancialSeniorRemote workCIRCLE
San Diego, CA2 days ago$130k - $195k
...5 days a week.Product Transformation, Principal ConsultantSlalom is seeking an exceptional... ...multiple industries (technology, financial services, healthcare, retail, etc.)* Track... ...are committed to pay transparency and compliance with applicable laws. If you have questions...PrincipalFinancialTemporary workWork at officeLocal area- ...providing clients with a genuine coast-to-coast and global advantage in major regions of the U.S. and in many of the world’s leading financial centers - New York, London, San Francisco, Los Angeles, Chicago and Boston. Baker Tilly Advisory Group, LP and Baker Tilly US, LLP...PrincipalFinancialSeniorWorldwide
Baker Tilly US
San Diego, CA13 hours ago $77k - $214k
...and guidance to clients on tax planning, compliance, and strategy. These individuals help... ...regulations. You will review and analyse financial data, prepare and file tax returns, and... ...automation and increased efficiencies. As a Senior Associate you shall analyze complex...FinancialSeniorFull timeSecond jobH1b- ...celebrating 26 years of excellence—is seeking a Senior Operations Analyst to Join our Team in... ...diverse team of acquisition experts, financial analysts, engineers, logisticians, IT... ...budget, resources, technical issues, and compliance to programs. Propose, review, or approve...FinancialSeniorFor contractors
$85k - $95k
ICF's Disaster Management Division seeks a Senior Grants Specialist to support clients in implementing federally... ...Grants Specialist will be focused on assisting with financial reconciliation, reporting, and compliance. Candidates will work closely with senior staff and...FinancialSeniorFull timeContract workFor contractorsWork experience placementLocal areaRemote workWork from home$107.16k - $226.32k
....KPMG is currently seeking a Manager or Senior Manager to join our Business Tax Services... ...practice. Responsibilities:Provide tax compliance and advisory services to corporations and... ...for Senior Manager:Manage risk and financial performance of engagements including billing...FinancialSeniorLocal area$100k - $150k
...our best work EisnerAmper is seeking a Senior to join our National Tax Office. We are... ...reduce filing turnarounds or streamline compliance work, we're able spend more time conducting... ...enterprises as diverse as sophisticated financial institutions and start-ups, global...FinancialSeniorFull timeWork at officeLocal area- ...A leading technology solutions provider in San Diego is seeking a Senior Accountant to ensure accurate financial reporting and compliance. You will manage intercompany transactions, perform audits, and develop internal controls. Candidates should possess a Bachelor's degree...FinancialSeniorFull time
Macnica Americas
San Diego, CA13 hours ago $40 - $50 per hour
...SENIOR FAMILY LAW PARALEGAL 4-Day, 32-Hour Workweek with Full Pay | San Diego Fair Cadora... ...Strong understanding of discovery, financial disclosures, and litigation procedures Excellent... ...through final judgment, ensuring compliance with court rules, procedural requirements...FinancialSeniorHourly payFull timeWork at officeMonday to FridayFairCadora APC
San Diego, CA3 days ago$207.5k - $281k
...leaders, learners, and world-class compliance professionals. We are part of an amazing team bringing financial services offerings to market to... ...over the world! We are seeking a Principal Regulatory Compliance Manager to serve as a senior technical authority supporting our...PrincipalFinancial3 days per week$150k - $205k
Job Summary:The Assurance Senior Manager, Technology Risk Assurance is responsible for acting as an IT audit technical resource to clients... ..., trends, and industry economicsIdentifies and discusses key financial and non-financial performance measuresDemonstrates ease with...FinancialSeniorWork at office$191.25k - $225k
...Markets StrategyJob Description SummaryThe Senior Director, Capital Markets Strategy, is... ...initiatives.Exceptional analytical, financial modeling, and business case development... ...Discrimination of any type will not be tolerated.In compliance with the Americans with Disabilities Act...FinancialSeniorMinimum wageFull timeFlexible hours- ...Aztec Shops Ltd. seeks the Associate Director of Financial Services to lead day-to-day operations of the Financial Services Department... ...Accounting, Financial Reporting, Tax, AR, and Sales Audit, ensuring compliance with law and high standards of integrity. The role requires...FinancialSenior
Sacbar
San Diego, CA13 hours ago - ...Direct Reports: N/A Summary Of Position The Senior Paralegal – Trusts & Estates provides... ..., trustees, fiduciaries, and financial institutions. Case Management Manage probate... ...administration, and probate files. Audit matters for compliance and provide guidance to appropriate...FinancialSeniorHourly payLocal areaRemote work
JKZ LLP
San Diego, CA2 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Supervisory Principal (Series 7/24) — Financial Compliance. Be the first to apply!
Related searches
- senior lead project manager San Diego, CA
- senior robotics software engineer San Diego, CA
- senior devops engineer remote San Diego, CA
- senior sas administrator San Diego, CA
- senior IT manager San Diego, CA
- senior contracts analyst San Diego, CA
- sr project manager San Diego, CA
- senior windows systems engineer San Diego, CA
- consultant senior consultant San Diego, CA
- senior manager data science San Diego, CA