Compliance analyst [h1.location_city]
[job_alerts.create_a_job]
Compliance analyst • mesa az
[last_updated.last_updated_variable_hours]
The Compliance Analyst plays a critical role in safeguarding the integrity of Osaic's financial services operations by monitoring advisor activity and identifying potential compliance risks.This po...[show_more][last_updated.last_updated_30]
Build a brilliant future with Hiscox.Please note that this position is hybrid and requires work in office a minimum of two (2) days per week.
Position can be based at our following hub office locati...[show_more][last_updated.last_updated_variable_days]
Sales Supervision Coordinator •.HYBRID •- Scottsdale, AZ 85255.Schedule : • Monday - Friday, 8am - 5pm.The Sales Supervision Coordinator works in conjunction with Sales Supervision Principals to ensur...[show_more][last_updated.last_updated_variable_hours]
Opportunity in Financial Services.Atlanta : 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339.La Vista : 12325 Port Grace Blvd, La Vista, NE 68128.
Scottsdale : 18700 N Hayden Rd, Suite 255, Scotts...[show_more][last_updated.last_updated_30]
A company is looking for a Senior Compliance Analyst - Marketplace Advisory.Key Responsibilities Assist in maintaining the Compliance Program and perform compliance reporting Manage compliance r...[show_more][last_updated.last_updated_30]
CVS Health is seeking a compliance professional to join the team.Analyst will assist with the administration of settlement agreements and partner with a variety of internal teams to support enterpr...[show_more][last_updated.last_updated_30]
Molina Healthcare's Medicare Compliance team supports sales operations for the Molina Medicare product lines.It is a centralized corporate function supporting compliance activities.The Sales Compli...[show_more][last_updated.last_updated_variable_days]
In this global, hands-on role reporting to the Director, Assurance & Trust, you will lead our governmental IT compliance program across.
The IT Compliance Lead will develop and manage.CMMC, DFARS, N...[show_more][last_updated.last_updated_variable_days]
A community-focused organization in Gilbert, Arizona is seeking an experienced EDI Systems Analyst II to manage EDI requirements and ensure compliance with health care standards.The ideal candidate...[show_more][last_updated.last_updated_variable_days]
Are you looking for a unique opportunity to be a part of something great? Want to join a 17,000-member team that works on the technology that powers the world around us? Looking for an atmosphere o...[show_more][last_updated.last_updated_variable_days]
Partners with their assigned Line of Business, other Risk / Compliance / Audit (RCA) professionals, and RCA Managers to, depending on their function, create, implement, maintain, review or oversee an e...[show_more][last_updated.last_updated_1_day]
Overview and Essential Functions.Looking for an opportunity to make a difference? Then you may have found your next career move.
Were looking for a Compliance Supervisor to join our team and help co...[show_more][last_updated.last_updated_30]
Compliance Research Specialist.At Carvana, we're changing the way people buy and sell cars.With an ambitious vision and a fundamentally different approach designed to be fun, fast, and fair, Ca...[show_more][last_updated.last_updated_variable_days]
The Compliance Coordinator is responsible for ensuring compliance with all relevant and applicable requirements, issues, and concerns within Charter One and its managed schools as required by state...[show_more][last_updated.last_updated_variable_days]
This job establishes overall business or technical strategy for risk management, influences executive-level decision-making through strategic risk assessments, partners with stakeholders to impleme...[show_more][last_updated.last_updated_variable_days]
Regulatory Compliance Coordinator.The Regulatory Compliance Coordinator facilitates delivery of core services provided by the E&S Compliance Team of W.
Reporting to the Manager of the E&S Compliance...[show_more][last_updated.last_updated_variable_days]
We are seeking an organized and detail-oriented Retirement Plan Compliance Analyst to join our team.As a compliance analyst you will play a crucial role in supporting our attorneys by performing a ...[show_more][last_updated.last_updated_variable_days]
The position requires an energetic candidate with a financial services background who can think independently, thrive in a fast-paced team environment, creatively problem-solve, connect various tho...[show_more][last_updated.last_updated_1_day]
This position is ideal for mid- to senior-level trade compliance professionals to join the Global Trade Compliance (GTC) team as a.
Senior Analyst, Trade Compliance and Sanction Screening, North Ame...[show_more][last_updated.last_updated_30]
- [promoted]
Compliance Analyst
OsaicScottsdale, AZ, US[job_card.full_time]
Claims Compliance Analyst
HiscoxScottsdale[job_card.full_time]
- [promoted]
- [new]
Compliance Coordinator
TEKsystemsScottsdale, AZ, United States[job_card.full_time]
Compliance Analyst
Advisor GroupScottsdale, AZ[job_card.full_time]
- [promoted]
Senior Compliance Analyst
VirtualVocationsTempe, Arizona, United States[job_card.full_time]
- [promoted]
Senior Corporate Compliance Analyst
Phenom PeopleScottsdale, AZ, US[job_card.full_time]
- [promoted]
Analyst, Compliance (Sales)
Arizona StaffingChandler, AZ, US[job_card.full_time]
Senior IT Compliance Analyst
OnsemiScottsdale, AZ, United States[job_card.full_time] +1
- [promoted]
Senior EDI Systems Analyst Impact & Compliance
MTMGilbert, AZ, United States[job_card.full_time]
Principal Analyst- Governance, Risk & Compliance
Microchip TechnologyChandler, AZ[job_card.full_time]
- [promoted]
Compliance Representative
U.S. BancorpTempe, AZ, US[job_card.full_time]
Compliance Supervisor
Kraken CommunicationsMesa, AZ, US[job_card.full_time]
- [promoted]
Compliance Research Specialist
CarvanaTempe, AZ, US[job_card.full_time]
- [promoted]
Compliance Coordinator
Charter OneMesa, AZ, United States[job_card.full_time]
- [promoted]
Director, BU Compliance
PayPalScottsdale, AZ, US[job_card.full_time]
Regulatory Compliance Coordinator
W.R. BerkleyScottsdale, AZ, US[job_card.full_time]
Retirement Plan Compliance Analyst
WTWTempe, AZ, United States[job_card.full_time]
Senior Analyst, Financial Planning Compliance
LPL FinancialTempe[job_card.full_time]
- [promoted]
Sr. Analyst, Trade Compliance & Sanction Screening, North America
Align TechnologyTempe, AZ, US[job_card.full_time]
Compliance Analyst
OsaicScottsdale, AZ, US[job_card.30_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]Reviews financial professionals' book of business for common risks and regulatory issues. Creates representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B-share and C-share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc. Delivers trend summaries to Internal Supervision, Compliance and Senior Management teams for review and follow up. Assist Surveillance manager in the creation and editing of Surveillance procedures Lead additional projects and regulatory requests and necessary. Conducts Quality Assurance of analyst deliverables for financial professional profiles and Activity Based Reviews. SME for all Surveillance report IT / QA / UAT testing Train new / current Compliance Analysts Three to five years of experience in the financial securities industry is required. Must be proficient with MS Office and Word. Proficiency with MS Excel is a must. Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds is required. (Additional knowledge in variable annuities and mutual funds strongly preferred.) Ability to analyze large amounts of trade data and to think through complex Compliance issues. Must be detail-oriented, investigative and have the ability to handle a high volume of work independently. Ability to interpret Compliance Policies and Procedures, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker / dealer regulation Effective communication skills, both written and verbal. FINRA Series 7 and 24 preferred. Insurance license preferred 2+ years' regulatory experience is preferred. Experience at an independent broker-dealer is preferred
Compliance Analyst
The Compliance Analyst plays a critical role in safeguarding the integrity of Osaic's financial services operations by monitoring advisor activity and identifying potential compliance risks. This position is responsible for conducting detailed reviews of financial professionals' books of business, analyzing trade data, and detecting patterns that may indicate regulatory or policy concerns. The analyst will collaborate closely with Internal Supervision, Compliance, and Senior Management to deliver actionable insights and ensure adherence to industry standards and firm policies. This role requires strong analytical skills, attention to detail, and the ability to interpret complex regulatory requirements. The Compliance Analyst will also contribute to the development of surveillance procedures, lead special projects, and serve as a subject matter expert for system testing and quality assurance initiatives.
Locations :
Atlanta : 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
La Vista : 12325 Port Grace Blvd, La Vista, NE 68128
Oakdale : 7755 3rd St. N, Oakdale, MN 55128
Scottsdale : 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg : 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic is not considering remote candidates at this time. Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type : Full-time
Salary : $55,000 - $63,000 per year + annual bonus
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more.
Education Requirements :
- Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities :
Basic Requirements :
Preferred Requirements :