Current jobs related to Compliance Officer - Scottsdale - Annexus Securities

  • Gaming Compliance Officer

    2 weeks ago

    Scottsdale, Arizona, United States Salt River Pima Maricopa Indian Community Full time

    Job SummaryAs a Gaming Compliance Officer with the Salt River Pima Maricopa Indian Community, you will play a critical role in ensuring the integrity of our gaming operations. This position involves conducting surveillance and inspections to ensure compliance with state and federal gaming regulations, as well as tribal ordinances. You will work closely with...

  • Senior Compliance Officer

    2 weeks ago

    Scottsdale, Arizona, United States Goodwin Recruiting Full time

    Job DescriptionWe are seeking a highly skilled Senior Compliance Analyst to join our team at Goodwin Recruiting. This role will be responsible for maintaining and reviewing regulatory compliance documents, reviewing and summarizing regulatory requirements, managing compliance reporting, and responding to inquiries from state and federal regulatory...

  • Chief Financial Strategist

    2 weeks ago

    Scottsdale, Arizona, United States Chief Financial Officer Full time

    Job OverviewAs a key member of our leadership team, the Chief Financial Officer will play a critical role in driving the company's financial strategy and ensuring its long-term sustainability.The ideal candidate will have a proven track record of leading and executing successful financial strategies, with a strong background in financial planning, analysis,...

  • Senior Compliance Analyst

    2 weeks ago

    Scottsdale, Arizona, United States GTN Technical Staffing and Consulting Full time

    Senior Compliance Analyst (Insurance)We are seeking an experienced Senior Compliance Analyst to join our team at GTN Technical Staffing and Consulting in Scottsdale, Arizona. This role is vital to maintaining compliance in a highly regulated industry, specifically within life insurance ensuring all operations align with all regulatory requirements. You will...

  • Tax Compliance Specialist

    1 month ago

    Scottsdale, Arizona, United States Ryan, LLC Full time

    About the RoleWe are seeking a highly skilled and detail-oriented Tax Compliance Specialist to join our team at Ryan, LLC. As a Tax Compliance Specialist, you will play a critical role in supporting the Property Tax practice by performing independent research and analytical reviews, maintaining software databases, and ensuring database and report...

  • Benefits and Compliance Specialist

    2 weeks ago

    Scottsdale, Arizona, United States SFE Full time

    Job Title: Benefits & Compliance SpecialistAt SFE, we are passionate about creating a customized experience for each of our districts and schools, bringing innovation to the table and being compassionate leaders to our teams.Job Summary:We are seeking a highly skilled Benefits & Compliance Specialist to join our team. The successful candidate will be...

  • Product Manager

    1 week ago

    Scottsdale, Arizona, United States Paradox Full time

    About the RoleWe are seeking a highly skilled Product Manager to lead our messaging and compliance efforts. As a key member of our product team, you will be responsible for championing messaging across our platform, ensuring compliance with regulatory standards, and developing a roadmap aligned to product and company objectives.Key ResponsibilitiesPartner...

  • Office Manager

    3 weeks ago

    Scottsdale, Arizona, United States House of Cars Arizona Full time

    Office ManagerHouse of Cars Arizona, a leading pre-owned vehicle dealership in Scottsdale, Arizona, is seeking an experienced Office Manager to oversee the day-to-day operations of our administrative functions and maintain a high level of customer service.Key ResponsibilitiesCoordinate and manage administrative tasks, such as bookkeeping, payroll, and...

  • Senior Compliance Project Manager

    3 weeks ago

    Scottsdale, Arizona, United States CVS Health Full time

    Job SummaryWe are seeking a highly skilled Senior Analyst to join our Corporate Compliance PBM Business Compliance Office (BCO) team at CVS Health. As a Senior Analyst, you will play a critical role in supporting the CVS Health Corporate Compliance Market Conduct Exam team with exam work and deliverables. Your expertise will be instrumental in facilitating...

  • Tax Compliance Specialist II

    4 weeks ago

    Scottsdale, Arizona, United States Discount Tire Full time

    Job Title: Indirect Tax Specialist IIDiscount Tire is seeking a highly skilled Indirect Tax Specialist II to join our team. As a key member of our tax department, you will be responsible for preparing and processing company taxes in compliance with all applicable taxing jurisdictions and ensuring compliance with applicable licensing requirements.Key...

  • Benefits & Compliance Specialist

    1 month ago

    Scottsdale, United States SFE Full time

    Ready to change the world? At SFE, we are fueling students to take on their school day one meal at a time, and we need YOU to help bring those healthy, great tasting meals to their plates every day. We are passionate about delicious food, creating a customized experience for each of our districts and schools, bringing innovation to the table and being...

  • Chief Financial Officer

    2 weeks ago

    Scottsdale, Arizona, United States Ammo Inc Full time

    Job DescriptionAmmo Inc is seeking a highly skilled and experienced Chief Financial Officer to lead our accounting and financial reporting efforts. As a key member of our executive team, you will be responsible for overseeing the preparation and filing of accurate and timely financial statements, ensuring compliance with SEC reporting requirements, and...

  • Mortgage Loan Officer

    6 days ago

    Scottsdale, Arizona, United States Toll Brothers Inc Full time

    We are seeking a highly motivated college graduate to join our team as a Junior Loan Officer. This is an excellent opportunity to develop your professional sales skills and become a licensed originator in the mortgage industry.About the RoleAs a Junior Loan Officer, you will receive comprehensive training and hands-on experience in the mortgage industry. You...

  • Medical Office Receptionist

    2 weeks ago

    Scottsdale, Arizona, United States APN Staffing & Employment Solutions Full time

    Job SummaryWe are seeking a highly organized and detail-oriented Medical Office Receptionist to join our team at APN Staffing & Employment Solutions. As a Medical Office Receptionist, you will be responsible for providing exceptional customer service to patients and visitors, managing front desk operations, and ensuring a smooth and efficient patient...

  • Front Office Coordinator

    1 week ago

    Scottsdale, Arizona, United States HealthOp Solutions Full time

    Job DescriptionPosition: Front Office Coordinator / Front Desk (Cardiology)Location: Scottsdale, AZSchedule: Full-TimeTravel: YesCompensation: $18 - $21 / hr (between 2 Scottsdale clinics)Benefits: Med/Dent/Vis, PTO/Sick, 401kJob Summary:The Front Office Coordinator for Cardiology in Scottsdale, AZ is responsible for coordinating patient care and ensuring...

  • Dental Office Manager Position

    2 weeks ago

    Scottsdale, Arizona, United States American Dental Companies Full time

    Job SummaryWe are seeking a highly skilled and experienced Dental Office Manager to lead our front office team and oversee the day-to-day operations of our clinic.Key Responsibilities:Lead and inspire the front office team to deliver exceptional patient care and serviceManage clinic schedules to optimize patient flow and minimize wait timesHandle billing,...

  • Information Assurance Security Officer

    4 weeks ago

    Scottsdale, Arizona, United States General Dynamics Full time

    Job Title: Information Assurance Security OfficerGeneral Dynamics Mission Systems is seeking a highly skilled Information Assurance Security Officer to join our team. As a key member of our Information Assurance Security team, you will be responsible for supporting the Information System (IS) Risk Management Framework activities, including categorizing...

  • Chief Operations Officer

    2 weeks ago

    Scottsdale, Arizona, United States Atlas Healthcare Partners, LLC Full time

    Job Title: Chief Executive OfficerAtlas Healthcare Partners, LLC is seeking a highly skilled and experienced Chief Executive Officer to lead our Ambulatory Surgery Center-Sports Medicine team.Job Summary:The Chief Executive Officer will be responsible for overseeing the overall operation of the site, ensuring continuous quality, accurate, timely, and...

  • Mortgage Loan Officer

    1 month ago

    Scottsdale, Arizona, United States First State Bank of St. Charles Full time

    Job Opportunity at First State Bank of St. CharlesWe are seeking an experienced Mortgage Loan Officer to join our team at First State Bank of St. Charles. As a Mortgage Loan Officer, you will be responsible for originating and processing mortgage loans, working closely with customers to understand their financial needs and providing personalized service to...

  • Security Officer

    2 weeks ago

    Scottsdale, Arizona, United States Allied Universal® Full time

    Job OverviewAllied Universal is a leading security and facility services company that offers rewarding careers with a sense of purpose. Our dynamic, diverse, and inclusive workplace fosters a culture that reflects in our communities and customers we serve. We provide medical, dental, and vision coverage, life insurance, retirement plans, employee assistance...

Compliance Officer

2 months ago

Scottsdale, United States Annexus Securities Full time

Annexus Compliance Officer, working under the direction of the Chief Compliance Officer, you will be responsible for compliance analysis, programs, initiatives, and policies and procedures for all product lines offered to meet business objectives and profitability goals. Principal Duties and Responsibilities:
  • Staying up to date on federal, state and SRO regulations and evaluating potential impact to the firm’s type of business and its written policies and procedures.
  • Update applicable written policies and procedures for consistency with new regulations or activities.
  • Maintain and update the firm’s monitoring, testing and surveillance program.
  • Testing and reviewing the firm’s electronic communications for any misleading information or suspicious activity.
  • Review and approve Sales Material and Advertising.
  • Assist with monitoring, filing and amending the firm’s and its registered persons FINRA registrations, state insurance licensing and continuing education requirements.
  • Assist in development and implementation of the firm’s continuing education plan to complete compliance training for the firm.

Job Requirements:

  • Bachelor’s Degree; Juris Doctor a plus.
  • FINRA Series 7 registration is currently active.
  • Must obtain Series 14 or 24 and 63 within 6 months of hire.
  • Life and Annuity Insurance license is preferred.
  • Minimum 3-5 years of strong front-line of securities, fixed indexed and variable annuities, and life insurance compliance experience.
  • Excellent project management and process improvement skills.
  • Strong communication, presentation, and analytical skills.
  • Ability to influence change.
  • Organized with the ability to handle multiple tasks and multiple priorities simultaneously.
  • Ability to work independently and communicate results.
  • Proficient working with Excel, Acrobat, Access, Outlook, PowerPoint.

About Integrity

Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first At Integrity, you can start a new career path at company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind. 

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are — in person, over the phone or online. Integrity’s employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.

Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.

PandoLogic. Category:Marketing & Biz Dev, Keywords:Compliance Manager, Location:Scottsdale, AZ-85258