Top 18 Director compliance Jobs in Mesa, Az

Associate Director of Supervision
Northwestern Mutual —Phoenix, AZ
- From $100,000 a year
- Full-time
- Background check
- Mid-level
- Office
- Health insurance
- Dental insurance
Quick Apply
Director of Contracts and Compliance
Perform Air International Inc. —Gilbert, AZ
- $80,000 - $100,000 a year
- Full-time
- 5 years
- Office
- Bachelor's degree
- Health savings account
- Health insurance
Quick Apply
Director-Compliance
American Express —Phoenix, AZ
- $123,000 - $215,250 a year
- Full-time
- Hybrid work
- Project management
- US work authorization
- Fair chance
- Paid parental leave
- Health insurance
11d
Associate Director, Corporate Compliance
Oscar Health —Tempe, AZ
- $134,136 - $176,053 a year
- Hybrid work
- 5 years
- HIPAA
- Office
- Paid parental leave
- Paid holidays
Quick Apply
11d
REGIONAL COMPLIANCE DIRECTOR
Rite of Passage, Inc. —Queen Creek, AZ
- $90,000 a year
- Monday to Friday
- Current TB test
- 21 years or older
- Criminal background check
- Health insurance
- Dental insurance
Quick Apply
Senior Field Supervision Director
Edward Jones —Tempe, AZ
- $86,300 - $146,700 a year
- Full-time
- Hybrid work
- Office
- Bachelor's degree
- Experience equivalent to degree accepted
- Profit sharing
- Health savings account
Director of Fleet and Compliance
Goodwill of Central & Northern Arizona —Phoenix, AZ
- Email
- Background check
- 7 years
- Pass drug screening
- Paid holidays
- Health insurance
Field Supervision Director
Edward Jones —Tempe, AZ
- $74,600 - $122,800 a year
- Full-time
- Bachelor's degree
- Experience equivalent to degree accepted
- Senior level
- Profit sharing
- Health savings account
Director of NERC Compliance
QE Solar —Scottsdale, AZ
- $115,000 - $130,000 a year
- Weekends as needed
- 11+ years
- Office
- Senior level
- Health savings account
- Disability insurance
Quick Apply
Regional Supervision Director
Osaic —Scottsdale, AZ
- $80,000 - $86,000 a year
- Full-time
- Hybrid work
- Office
- High school diploma or GED
- Bachelor's degree
- Health insurance
- Dental insurance
Director, Regulatory Quality Compliance
Chromalloy —Phoenix, AZ
- $172,800 - $226,800 a year
- Overtime
- Up to 50% travel
- 5 years
- Pass drug screening
- Wellness program
- Paid holidays
Quick Apply
5d
Director PEPI - Software Product and Tech Diligence (Open to All US locations)
Alvarez & Marsal —Phoenix, AZ
- $150,000 - $225,000 a year
- Full-time
- Computer Science
- 5 years
- Analysis skills
- AD&D insurance
- 401(k)
FINANCIAL AFFAIRS ASSISTANT DIRECTOR
State of Arizona —Phoenix, AZ
- $112,000 - $129,000 a year
- Full-time
- CPA
- Word processing
- Writing skills
- Paid holidays
- Disability insurance
6d
Director, Network Operating Rules - Digital Assets
Early Warning Services —Scottsdale, AZ
- $154,000 - $232,000 a year
- Full-time
- Hybrid work
- Pass drug screening
- 11+ years
- Office
- Paid parental leave
- Health savings account
Director PEPI - Software Product and Tech Diligence (Open to All US locations)
Alvarez and Marsal —Phoenix, AZ
- $150,000 - $225,000 a year
- Full-time
- Computer Science
- 5 years
- Analysis skills
- AD&D insurance
- 401(k)
Associate Regional Director - Supervision Principal
Cambridge Investment Research —Phoenix, AZ
- Full-time
- Office
- Senior level
- 4 years
- Paid holidays
- Disability insurance
Director, Annuity & Insurance Product Due Diligence
Osaic —Scottsdale, AZ
- $125,000 - $150,000 a year
- Full-time
- Hybrid work
- 5 years
- Research
- Office
- Health insurance
- Dental insurance
7d
Director - Transaction Advisory Services
Baker Tilly Advisory Group, LP —Phoenix, AZ
- $192,000 - $314,000 a year
- Full-time
- CPA
- Up to 50% travel
- Research
Quick Apply

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Director of Contracts and Compliance
Perform Air International Inc. —Gilbert, AZ
We are seeking a Director for Contracts and Compliance, to support aviation related parts manufacturing, repair, refurbishment, testing, quality assurance and…
$80,000 - $100,000 a year
Quick Apply

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Compliance Director - Behavioral health
Amavi LLC —Columbus, OH
As an independent contractor, the Director will set their own schedule but must be responsive to urgent compliance matters as they arise.
$35 - $45 an hour
Quick Apply
Director of Quality, Compliance and Health Information
Solero Behavioral Transitions - Columbus —Pickerington, OH
Familiarity with healthcare laws, regulations, accreditation standards, state licensure or certification and Best Practices in healthcare compliance program…
Quick Apply

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director compliance jobs near mesa, az

Associate Director of Supervision

Northwestern Mutual
Phoenix, AZ

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Job Details

Full-time
From $100,000 a year

Benefits

Health insurance
Dental insurance
Paid time off
Vision insurance
Retirement plan

Qualifications

Series 66
Series 7
Securities Industry Essentials
Series 24
FINRA License
Stakeholder relationship building
Series 63

Full Job Description

Associate Director of Office Supervision

The Associate Director of Supervision supports the Managing Partner (and the Director of Network Office Supervision) in shaping the culture of compliance in the office. You’ll support the Director and MP in implementing the supervision strategy and risk management approach for the office. You’ll prioritize effectively and will work within a team to accomplish network office goals. You’ll evaluate situation risk, make decisions, and build relationships effectively. Finally, you’ll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate others.

Duties of the role include the following:

· Active and valid FINRA Series SIE, 7

o Additional required licenses below. However, while all required licenses are preferred, we are open to candidates who are not currently licensed with the all required series listed below. Consideration will be based on being willing and able to obtain the necessary licenses within a specified timeframe upon hire, this will be a condition of employment.

· Active and valid FINRA Series 63 or 66.

· Active and valid FINRA Series 24, 4, 53, or 9/10 registrations.

Active Life/Health licenses, or the ability to obtain within 1 month.
Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems.
Assist in completing on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff.
Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA.
Support Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements.
Support supervisory plans put in place to address non-standard behavior or to address sales practice concerns.
Support the direction of the Local Network Office compliance program.
1-5 years of industry experience.
Strong relationship management skills.
Skilled in listening, partnering, and advocating.
Ability to evaluate problems and make decisions quickly based on risk.
Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills.
Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.
Strong written and oral communication skills.
Experience handling highly sensitive communications.

What makes you a great fit for our team?

Orientation toward working independently with minimal guidance.
Collaborates with other leaders and integrates compliance into network office priorities.
Skilled in listening, partnering, and advocating.
Relationship management skills with ability to adapt approach to different people.
Ability to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changes.

Job Type: Full-time

Pay: $100,000.00 per year

Benefits:

Retirement Plan with company match
Dental insurance
Health insurance
Paid time off
Vision insurance

Physical Setting: Office

Schedule: Monday to Friday

License/Certification: Series 24 (Preferred)

Ability to Commute: Phoenix, AZ 85016 (Required)

Ability to Relocate: Phoenix, AZ 85016: Relocate before starting work (Required)

Work Location: In person

Job Type: Full-time

Pay: From $100,000.00 per year

Benefits:

Dental insurance
Health insurance
Paid time off
Retirement plan
Vision insurance

License/Certification:

Series 7 (Required)
Securities Industry Essentials (Required)

Work Location: In person

Quick Apply

Refine Your Search

director compliance jobs in mesa, az

Associate Director of Supervision

Director of Contracts and Compliance

Director-Compliance

Associate Director, Corporate Compliance

REGIONAL COMPLIANCE DIRECTOR

Senior Field Supervision Director

Director of Fleet and Compliance

Field Supervision Director

Director of NERC Compliance

Regional Supervision Director

Director, Regulatory Quality Compliance

Director PEPI - Software Product and Tech Diligence (Open to All US locations)

FINANCIAL AFFAIRS ASSISTANT DIRECTOR

Director, Network Operating Rules - Digital Assets

Director PEPI - Software Product and Tech Diligence (Open to All US locations)

Associate Regional Director - Supervision Principal

Director, Annuity & Insurance Product Due Diligence

Director - Transaction Advisory Services

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