Top 158 Finance operations occupations 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
Operations Team Lead - Settlements
LPL Financial —Tempe, AZ
- $20.85 - $34.71 an hour
- Full-time
- Microsoft Excel
- Writing skills
- Research
- Health insurance
- Paid time off
Quick Apply
1d
Senior Associate, Investor Operations
CIM Group, LP —Phoenix, AZ
- Full-time
- Microsoft Excel
- 5 years
- Office
- Wellness program
- Paid parental leave
Quick Apply
Compliance Officer-Deposits and Payment Operations
City National Bank —Phoenix, AZ
- $70,000 - $145,000 a year
- 5 years
- Research
- Analysis skills
- Health insurance
- Dental insurance
Quick Apply
11d
KYC Review Analyst Senior- Ops
City National Bank —Phoenix, AZ
- $71,869 - $114,797 a year
- Writing skills
- Research
- Analysis skills
- Health insurance
- Dental insurance
Quick Apply
7d
Card Administration Operations Specialist I, II, III, Senior
Global Credit Union —Glendale, AZ
- $49,284 - $99,908 a year
- 8 hour shift
- Microsoft Excel
- Microsoft Outlook
- Research
- Health savings account
- Paid holidays
Prepaid Operations Processor 5
U.S. Bank National Association —Tempe, AZ
- $20.00 - $26.39 an hour
- Full-time
- Mid-level
- Office
- High school diploma or GED
- Paid holidays
- Disability insurance
Account Services Specialist
Beacon Pointe Advisors LLC —Scottsdale, AZ
- $75,000 - $85,000 a year
- Microsoft Excel
- Office
- Finance
Operations Specialist
Modern Wealth Management —Mesa, AZ
- $60,000 - $75,000 a year
- Full-time
- Research
- Mid-level
- Office
Quick Apply
13d
Administrative Operations Specialist
Brighton Jones —Scottsdale, AZ
- $29.00 - $36.20 an hour
- Full-time
- Microsoft Excel
- Mid-level
- Office
- Paid parental leave
- Paid holidays
Fraud Specialist
Northern Trust Corp. —Tempe, AZ
- Full-time
- Azure
- Windows
- SQL
Trader, Operations
Osaic —Scottsdale, AZ
- $60,000 - $65,000 a year
- Full-time
- Hybrid work
- Microsoft Excel
- Microsoft Outlook
- Computer literacy
- Health insurance
- Dental insurance
Senior Fraud Prevention Manager, VP
MUFG —Tempe, AZ
- $125,000 - $164,000 a year
- Full-time
- Hybrid work
- Background check
- Writing skills
- Office
- Paid parental leave
- Paid holidays
GFC Investigations Analyst
Bank of America —Phoenix, AZ
- Full-time
- Writing skills
- Mid-level
- Analysis skills
14d
Finance Assistant
Camelback Wealth Consultants —Phoenix, AZ
- $55,000 - $60,000 a year
- Full-time
- Background check
- Mid-level
- Office
- Health insurance
- 401(k)
Quick Apply
7d
Trust & Safety Agent
Whatnot —Phoenix, AZ
- $24.04 - $28.85 an hour
- Full-time
- Remote
- Research
- Mid-level
- Bachelor's degree
- Paid parental leave
- Health insurance
Operations Department Generalist, Operations
Edward Jones —Tempe, AZ
- $63,200 - $104,200 a year
- Full-time
- 5 years
- Mid-level
- Office
- Profit sharing
- Health savings account
7d
Fair Lending Specialist, Sr
loanDepot —Chandler, AZ
- $28.85 - $50.24 an hour
- 5 years
- Bachelor's degree
- Senior level
- Wellness program
- Health insurance
Quick Apply
Compliance Manager
Mission Lane —Phoenix, AZ
- $129,000 - $140,000 a year
- Full-time
- Remote
- 6 years
- Travel
- Senior level
- Paid parental leave
- Disability insurance
Card Operations Administrator- Debit Card
Western Alliance Bank —Phoenix, AZ
- Full-time
- Mid-level
- Office
- High school diploma or GED
- Wellness program
- Health insurance

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finance operations occupations jobs near mesa, az

Associate Director of Supervision

Northwestern Mutual
Phoenix, AZ

Quick Apply

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

finance operations occupations jobs in mesa, az

Associate Director of Supervision

Operations Team Lead - Settlements

Senior Associate, Investor Operations

Compliance Officer-Deposits and Payment Operations

KYC Review Analyst Senior- Ops

Card Administration Operations Specialist I, II, III, Senior

Prepaid Operations Processor 5

Account Services Specialist

Operations Specialist

Administrative Operations Specialist

Fraud Specialist

Trader, Operations

Senior Fraud Prevention Manager, VP

GFC Investigations Analyst

Finance Assistant

Trust & Safety Agent

Operations Department Generalist, Operations

Fair Lending Specialist, Sr

Compliance Manager

Card Operations Administrator- Debit Card

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