Sec Compliance Manager jobs in Mesa, AZ

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Chief Financial Officer (CFO)
MY DR NOW - 17 reviews - Chandler, AZ
Experience in Business Valuation, Mergers, SEC Filings, Revenue Recognition, GAAP. Direct and implement dashboard reporting on financial, HR, and compliance...

Chase Wealth Management – Divisional Supervisory Manager

JP Morgan Chase - 15,127 reviews - Phoenix, AZ 85004 (Central City area)
Bachelor Degree with 10+ years of relevant supervisory experience in brokerage operations, supervision, compliance;...

Compliance Analyst

Derive - Scottsdale, AZ
Compliance Analyst will prepare and conduct compliance presentations. Qualifications of Compliance Analyst*. Assisting management in identifying and containing...
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Compliance Manager - Vanguard Marketing Corporation

Vanguard - 543 reviews - Scottsdale, AZ 85260 (North Scottsdale area)
Serves as a technical expert on FINRA, SEC, and MSRB regulations, and all other applicable compliance requirements affecting VMC....

Capital Markets Manager

Pravati Capital - Scottsdale, AZ
$50,000 - $100,000 a year
Understanding of SEC & state compliance. Provide executive support to the C level executives at a mid-sized Investment firm....
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Treasury Manager

Shutterfly - 290 reviews - Tempe, AZ 85281
Monitor and ensure SOX compliance in relation to treasury related financial reporting controls; Assist with the execution of company financing agreements...

Manager, SEC Financial Reporting

Vereit - Phoenix, AZ
Ensure compliance with GAAP and internal controls. Assist in technical accounting research related to the proper application and disclosure of accounting...

Manager, SEC Financial Reporting

Cole Capital Advisors - Phoenix, AZ
Ensure compliance with GAAP and internal controls. Assist in technical accounting research related to the proper application and disclosure of accounting...

Investment Associate I - Scottsdale, AZ

BMO Financial Group - 1,372 reviews - Scottsdale, AZ
NASD, SEC, Federal Reserve, Internal Audit). All formal complaints must be immediately shared with the Chief Compliance Officer and the Financial Advisor....

SEC Audit Manager

RSM US LLP - 282 reviews - Phoenix, AZ 85008 (Camelback East area)
Previous experience auditing clients in the SEC, Financial Institutions, and Not for Profit industries. Review control deficiency and compliance letters, with...

Chief Financial Officer (CFO)

MY DR NOW - 17 reviews - Chandler, AZ
Experience in Business Valuation, Mergers, SEC Filings, Revenue Recognition, GAAP. Direct and implement dashboard reporting on financial, HR, and compliance...