Current jobs related to Regulatory Compliance Analyst - Tempe, Arizona - LPL Financial
-
Security Compliance Analyst
3 days ago
Tempe, Arizona, United States Infinity Consulting Solutions Full timeWe are seeking a highly skilled Security Compliance Analyst to join our team at Infinity Consulting Solutions. The ideal candidate will have a strong background in information security and compliance, with a minimum of 3 years of experience in a related field.The Security Compliance Analyst will be responsible for coordinating and supporting governance and...
-
Business Analyst
2 weeks ago
Tempe, Arizona, United States Futran Tech Solutions Pvt. Ltd. Full timeJob Title: Business Analyst - Liquidity Regulatory ReportsFutran Tech Solutions Pvt. Ltd. is seeking a highly skilled Business Analyst to join our team. The ideal candidate will have experience in liquidity regulatory reporting and a strong understanding of regulatory requirements.Key Responsibilities:Produce and submit regulatory filings in compliance with...
-
Security Compliance Specialist
7 days ago
Tempe, Arizona, United States Infinity Consulting Solutions Full timeWe are seeking a highly skilled Security Compliance Analyst to join our team at Infinity Consulting Solutions. The successful candidate will be responsible for coordinating and supporting governance and security efforts in collaboration with other key stakeholders across the Organization.The Security Compliance Analyst's primary responsibility is to identify...
-
Compliance Specialist
3 weeks ago
Tempe, Arizona, United States Courier Network Inc. Full timeJob Title: Compliance AnalystThe Compliance Analyst plays a vital role in ensuring customer compliance with a focus on internal and external reporting and operational auditing. This position is responsible for conducting operational compliance audits of all shipments to guarantee quality and consistency in adherence to all procedures and policies. The...
-
Security Compliance Specialist
3 days ago
Tempe, Arizona, United States Infinity Consulting Solutions Full timeJob SummaryWe are seeking a highly skilled Security Compliance Analyst to join our team at Infinity Consulting Solutions. The ideal candidate will have a strong background in information security and compliance, with experience in risk management and governance.Key Responsibilities Assist with risk assessments and audits to identify compliance issues Review...
-
Security Compliance Specialist
3 weeks ago
Tempe, Arizona, United States Infinity Consulting Solutions Full timeJob Title: Security Compliance AnalystWe are seeking a highly skilled Security Compliance Analyst to join our team at Infinity Consulting Solutions. As a key member of our organization, you will play a critical role in ensuring the security and compliance of our clients' financial services.Responsibilities:Risk Management:Assist with risk assessments and...
-
Quality Assurance Analyst
4 weeks ago
Tempe, Arizona, United States MUFG Full timeJob Summary:MUFG is seeking a highly skilled Quality Assurance Analyst to join our team. As a Quality Assurance Analyst, you will be responsible for performing quality assurance reviews of client KYC profiles to ensure compliance with established quality objectives and regulatory requirements.Key Responsibilities:Perform quality assurance reviews of client...
-
Cybersecurity Risk Analyst
3 days ago
Tempe, Arizona, United States Hamlyn Williams Full timeThe Information Security/Cyber Risk analyst will play a key role in assessing third-party security risk at Hamlyn Williams. This role involves evaluating vendor-submitted questionnaires and documentation to identify any potential security risks, ensuring compliance with legal and regulatory standards.Key Responsibilities:Conduct reviews of vendor materials,...
-
Regulatory Reporting Specialist
3 days ago
Tempe, Arizona, United States Futran Tech Solutions Pvt. Ltd. Full timeJob SummaryFutran Tech Solutions Pvt. Ltd. is seeking a skilled Regulatory Reporting Specialist to join our team. As a key member of our regulatory reporting team, you will be responsible for the production and submission of multiple regulatory filings in compliance with legal and regulatory requirements, the Bank's policies and procedures, and generally...
-
Financial Analyst
6 days ago
Tempe, Arizona, United States PrideStaff Full timeJob OverviewPrideStaff is seeking a highly skilled Financial Analyst to join our team. As a key member of our accounting department, you will be responsible for preparing and analyzing financial records, ensuring accuracy and compliance with regulatory requirements.Key Responsibilities:Prepare and examine financial statements, taxes, and other financial...
-
Cybersecurity Risk Analyst
2 weeks ago
Tempe, Arizona, United States Hamlyn Williams Full timeThe Hamlyn Williams team is seeking an experienced Information Security/Cyber Risk analyst to play a key role in assessing third-party security risk. In this role, you'll evaluate vendor-submitted questionnaires and documentation to identify any potential security risks, ensuring compliance with legal and regulatory standards. You'll need a strong...
-
Environmental Compliance Manager
4 weeks ago
Tempe, Arizona, United States Circle K Full timeJob SummaryWe are seeking a highly skilled Environmental Compliance Manager to join our team at Circle K. As a key member of our compliance team, you will be responsible for ensuring that our operations meet all relevant environmental regulations and standards.Key ResponsibilitiesManage and maintain all aspects of environmental regulatory compliance,...
-
Regulatory Affairs Specialist
2 days ago
Tempe, Arizona, United States BD (Becton, Dickinson and Company) Full timeJob Description SummaryAs a Regulatory Affairs Specialist at BD, you will provide primary RA support for one or more product lines and/or region(s), including independent participation on new product development teams and continued RA support through the lifecycle of the product.The RA Specialist will also prepare regulatory submissions required to market...
-
Legal Analyst
1 week ago
Tempe, Arizona, United States Carvana Full timeAbout CarvanaCarvana is a revolutionary company that is changing the way people buy cars. We're looking for a talented Legal Analyst to join our team and help us navigate the complex world of regulatory compliance.Job SummaryWe're seeking a highly analytical and detail-oriented individual to join our Legal Team as a Legal Analyst. In this role, you'll work...
-
Regulatory Reporting Director
3 days ago
Tempe, Arizona, United States MUFG Full timeJob Summary:The Liquidity Regulatory Reporting Manager is responsible for the end-to-end production and submission of multiple regulatory filings in compliance with legal and regulatory requirements, the Bank's policies and procedures, and generally accepted accounting principles.The Manager supervises the designs and performance of controls to assure the...
-
Compliance Counsel II
4 weeks ago
Tempe, Arizona, United States Edward Jones Full timeJob OverviewEdward Jones is seeking a Compliance Counsel to support the growth of its affiliated mutual fund complex. This role performs critical functions including providing regulatory advice and guidance to Firm management, conducting initial and ongoing diligence on fund service providers, preparing and presenting quarterly reports to the funds' board of...
-
Claims Loss Analyst
6 days ago
Tempe, Arizona, United States TEKsystems Full timeJob DescriptionWe are seeking a skilled Claims Loss Analyst to join our team at TEKsystems. As a Claims Loss Analyst, you will be responsible for monitoring and closing platform workstations, researching and reconciling complex information and transactions, and building and maintaining master data Excel spreadsheets daily.Key Responsibilities:Monitor and...
-
Regulatory Reporting Manager, Vice President
3 weeks ago
Tempe, Arizona, United States MUFG Full timeUnlock Your Potential as a Regulatory Reporting ManagerAre you a seasoned professional looking to make a meaningful impact in the financial industry? Do you have a passion for regulatory reporting and compliance? We're seeking a highly skilled Regulatory Reporting Manager to join our team at Mitsubishi UFJ Financial Group (MUFG).As a Regulatory Reporting...
-
Regulatory Reporting Manager, Vice President
2 weeks ago
Tempe, Arizona, United States MUFG Full timeUnlock Your Potential as a Regulatory Reporting Manager, Vice PresidentAre you ready to make a meaningful impact in the financial industry? Do you have a passion for regulatory reporting and compliance? We're seeking a highly skilled Regulatory Reporting Manager, Vice President to join our team at Mitsubishi UFJ Financial Group (MUFG).About the RoleThe...
-
Cybersecurity Analyst, Senior Lead
1 week ago
Tempe, Arizona, United States Arizona State University Full timeAbout the RoleArizona State University is seeking a highly skilled Cybersecurity Analyst, Senior to join our team. As a key contributor to our Cybersecurity Core, you will play a critical role in defending against cyber threats and ensuring the security of our Public Enterprise.Key ResponsibilitiesLead investigations, incident response, and network forensics...
Regulatory Compliance Analyst
2 months ago
Job Overview:
The Electronic Communications Compliance (eComm) team within the Compliance, Legal and Risk (CLR) organization is looking for a Compliance Analyst to assist in ensuring that our technological solutions adhere to all regulatory standards associated with CARS (Capture, Archive, Retrieve, and Supervise). In this capacity, you will engage directly with key stakeholders to help safeguard our Advisors' operations against legal and compliance risks.
Key Responsibilities:
- Facilitate the firm-wide implementation of eComm tools that encompass electronic communications. These tools include, but are not limited to, email, text messaging, chat/instant messaging, social media, marketing automation, appointment scheduling, and web portals.
- Proactively identify CARS requirements and potential enhancements for these tools.
- Support the strategic integration of mergers and acquisitions by promoting LPL's compliant digital capabilities throughout the process, ensuring that all eComm communications are compliant from day one.
- Collaborate with stakeholders to ensure effective oversight of digital tools that generate electronic communications, including identifying and addressing any compliance issues.
- Conduct eComm controls and engage in project initiatives as a subject matter expert when necessary.
What We Are Seeking:
We are in search of strong collaborators who can provide an exceptional client experience. Ideal candidates thrive in a dynamic environment, are client-focused, team-oriented, and can execute in a manner that fosters creativity and continuous improvement.
Qualifications:
- A minimum of 3-5 years of experience in a client-facing or technology-centric role.
- A strong intellectual curiosity regarding risk, compliance, and technology.
- Prior experience in a broker-dealer environment or in a risk management/compliance capacity is preferred.
Core Competencies:
- Robust technical skills with the ability to think critically to manage identified issues and propose solutions.
- A team player with excellent communication skills and emotional intelligence.
- Ability to handle sensitive data responsibly.
- Highly adaptable, comfortable performing a diverse range of tasks.
Compensation:
The pay range for this position is $28.94-$48.23/hour. Actual base salary may vary based on factors such as relevant skills, prior experience, education, internal peer salaries, demonstrated performance, and geographic location. Additionally, LPL offers a highly competitive Total Rewards package designed to support your success at work, home, and in leisure activities, including 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will provide further details about the benefits LPL has to offer.
