Top 80 Broker dealer compliance Jobs in Phoenix, Az

Services Associate, Risk & Compliance (Tracking & Trading/Broker Data Import Program)
Deloitte —Tempe, AZ
- $51,900 - $95,500 a year
- Full-time
- Research
- Mid-level
- Office
Senior Compliance / Supervision Principal
The MOHR Enterprises LLC —Phoenix, AZ
- $85,000 - $100,000 a year
- Remote
- Supervising experience
- Mentoring
- Senior level
Quick Apply
7d
Business Operations Manager
The MOHR Enterprises LLC —Tempe, AZ
- $100,000 - $120,000 a year
- Mid-level
- Office
- Finance
Quick Apply
Advertising & Supervision Analyst
The MOHR Enterprises LLC —Phoenix, AZ
- $85,000 a year
- Full-time
- Research
- Mid-level
- Office
Quick Apply
Business Operations Manager
The MOHR Enterprises LLC —Tempe, AZ
- $100,000 - $130,000 a year
- Mid-level
- Analysis skills
- Bachelor's degree
Quick Apply
Business Operations Manager
The MOHR Enterprises LLC —Tempe, AZ
- $100,000 - $130,000 a year
- Mid-level
- Analysis skills
- Bachelor's degree
Quick Apply
Advertising Compliance Analyst
Cambridge Investment Research —Phoenix, AZ
- Full-time
- Hybrid work
- Microsoft Excel
- Microsoft Outlook
- Research
- Paid holidays
- Disability insurance
9d
VP, Strategic Acquisitions
Cambridge Investment Research —Phoenix, AZ
- $130,000 - $170,000 a year
- Full-time
- Hybrid work
- Office
- Business development experience
- Bachelor's degree
- Wellness program
- Paid holidays
Salesforce Developer
Cambridge Investment Research —Phoenix, AZ
- Full-time
- Hybrid work
- Mid-level
- Office
- Leadership
- Paid holidays
- Disability insurance
Supervisory Risk Manager
Royal Bank of Canada —Phoenix, AZ
- $90,000 - $160,000 a year
- Full-time
- Data analysis skills
- Office
- 3 years
- Disability insurance
- Health insurance
Compliance Officer
Integrity Marketing Group —Scottsdale, AZ
- Full-time
- Mid-level
- Office
- Analysis skills
Quick Apply
Senior Branch Office Examiner
Osaic —Scottsdale, AZ
- $80,000 - $85,000 a year
- Full-time
- Remote
- Up to 50% travel
- Computer literacy
- Mid-level
- Health insurance
- Dental insurance
Advisor Support Consultant
Cambridge Investment Research —Phoenix, AZ
- $75,000 - $85,000 a year
- Full-time
- Hybrid work
- Mid-level
- Office
- Bachelor's degree
- Paid holidays
- Disability insurance
Trading Support Consultant
Cambridge Investment Research —Phoenix, AZ
- Full-time
- Hybrid work
- Research
- Mid-level
- Office
- Paid holidays
- Disability insurance
14d
Client Service Associate, Wealth Management
HUB International —Scottsdale, AZ
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Office
7d
Operations Processing Specialist
Osaic —Scottsdale, AZ
- $43,000 - $48,000 a year
- Full-time
- Microsoft Word
- Microsoft Outlook
- Office
- Health insurance
- Dental insurance
Senior Treasury Analyst - Investments
Western Alliance Bank —Phoenix, AZ
- Full-time
- Writing skills
- Mid-level
- Office
- Wellness program
- Health insurance
5d
Senior Surveillance Analyst
Osaic —Scottsdale, AZ
- $84,000 - $94,000 a year
- Full-time
- Hybrid work
- Microsoft Word
- Mid-level
- Office
- Health insurance
- Dental insurance
6d
Regional Supervision Manager
Osaic —Scottsdale, AZ
- $70,000 - $80,000 a year
- Full-time
- Hybrid work
- Mid-level
- Office
- 3 years
- Health insurance
- Dental insurance
Auto Claims Examiner
Atlantic Casualty Insurance Company —Scottsdale, AZ
- $84,520.80 - $112,039.20 a year
- Full-time
- 7 years
- Office
- Analysis skills
- Paid parental leave
- Health savings account
Quick Apply

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broker dealer compliance jobs near phoenix, az

Services Associate, Risk & Compliance (Tracking & Trading/Broker Data Import Program)

Deloitte -
Tempe, AZ

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Job Details

Full-time
$51,900 - $95,500 a year

Qualifications

Customer communication
Spreadsheets
Research
Customer inquiry handling
Bachelor's degree
Productivity software

Full Job Description

Are you an experienced analyst who is detail oriented and possesses strong process improvement, critical thinking, and interpersonal skills? Do you have experience with internal compliance monitoring systems and data feed processing? Do you enjoy working with customers to answer their questions?

We are seeking Services Associate who will be responsible for monitoring brokerage account compliance for approximately 75K professionals and the daily import of 20+ broker dealer files into Deloitte's Independence monitoring system called the Tracking & Trading System. The ideal candidate will be a strong problem solver, with a solid working knowledge of various financial instruments/markets, have a background or interest in compliance and will strive to provide exceptional quality and superior customer service.

Recruiting for this role ends on 07/24/2026.

Work you'll do

As a Services Associate, Risk & Compliance (Tracking & Trading/Broker Data Import Program) on the Independence & Conflicts Network team, you will:

Work closely with outside brokerage firms and Deloitte professionals to support brokerage account compliance activities
Gain a robust knowledge of Deloitte policies to provide guidance to professionals, resolve customer inquiries, evaluate risk, and determine the permissibility of financial relationships
Assist partners and employees in understanding compliance requirements for personal financial relationships, with a focus on brokerage accounts
Research financial products and support decisions on how those products should be monitored within the Tracking & Trading System
Work with Deloitte professionals to support accurate reporting of financial relationships in internal systems and provide guidance on brokerage account transfers

A successful candidate would possess these skills:

Ability to work independently and collaborate as part of a team
Effective written and verbal communication skills
Meticulous attention to detail and quality of work product
Ability to build and sustain professional relationships
Ability to lead projects or workstreams
Ability to manage and prioritize multiple tasks in a fast-paced and dynamic environment
Strong interpersonal skills and professional demeanor
Ability to meet deadlines
Ability to provide clear guidance to others

The team

Risk & Brand Protection (R&BP)

At Deloitte, we are stewards of reputation - ours and our clients. That's why we foster a culture that protects, preserves, and enhances our reputation. With your help, we will distinguish Deloitte as the clear leader in professional services, making us the first choice for clients and talent.

Independence & Conflicts Network

The Independence & Conflicts Network (ICN) team performs a critical consultative, quality-assurance and risk management function for the Deloitte US Firms, helping the organization remain unbiased and free from conflicts-of-interest, in fact and appearance, when providing service to attest/audit clients. Independence requirements are defined by specific sets of policies, externals rules, and regulations, so maintaining both the independence of the Deloitte US Firms and personal independence is essential to the business and reputation of Deloitte. This position offers a dynamic work environment which is driven by changing financial instruments and the need for responsiveness to regulatory change. The Analyst will be expected to gain a solid understanding of financial relationships and independence policies. The analyst will work with other departments within the Independence & Conflicts Network, end users (Deloitte professionals with independence requirements) and numerous outside brokerage firms that participate in our import program.

Qualifications

Required:

Bachelor's degree
1+ years of experience in a large corporate environment or professional services firm
Experience using Microsoft Excel, Microsoft PowerPoint, and Microsoft Word
Ability to travel 0-10%, on average, based on the work you do
Limited immigration sponsorship may be available

Preferred:

Experience working with securities and financial relationships, including stocks, bonds, mutual funds, and exchange-traded funds
Knowledge of independence requirements for professional auditing firms
Prior experience working at a broker dealer or in a compliance role
In-depth knowledge of financial products and brokerage relationships
Familiarity with broker data feeds

The wage range for this role takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Deloitte, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $51,900 to $95,500.

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Refine Your Search

broker dealer compliance jobs in phoenix, az

Services Associate, Risk & Compliance (Tracking & Trading/Broker Data Import Program)

Senior Compliance / Supervision Principal

Business Operations Manager

Advertising & Supervision Analyst

Business Operations Manager

Business Operations Manager

Advertising Compliance Analyst

VP, Strategic Acquisitions

Salesforce Developer

Supervisory Risk Manager

Compliance Officer

Senior Branch Office Examiner

Advisor Support Consultant

Trading Support Consultant

Client Service Associate, Wealth Management

Operations Processing Specialist

Senior Treasury Analyst - Investments

Senior Surveillance Analyst

Regional Supervision Manager

Auto Claims Examiner

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