187 Compliance jobs in Tempe

• Serve as a compliance resource to financial professionals, their staff, and internal business partners
• Process requests related to customer complaints, regulatory inquiries, and state registrations.
• Contribute to compliance investigations, monitoring, and testing as needed.
• Take on special projects related to regulatory demands or internal initiatives.
• Assist with disciplinary workflows and escalation of compliance issues.
• Assist the team in meeting stringent deadlines and preparing updates to ongoing cases.

• Bachelor's degree (or equivalent industry experience) preferred.
• 1-2 years of experience in financial services or compliance.
• Understanding of regulatory frameworks (e.g., Adviser Rules, ERISA, DOL, SEC, FINRA).
• FINRA Series 7 required; Series 24 preferred or ability to obtain within 90 days.
• Strong written and verbal communication skills; meticulous attention to detail.
• Proficiency in Microsoft Office (Word, Excel, Outlook); familiarity with CRM/data systems a plus (e.g., Salesforce, Wealthscape).

• You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
• It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.

Job Description

Assists and supports the organization in complying with, as well as the ongoing preparation, testing and monitoring of conformance to, the requirements of government regulations and/or regulatory agencies.

Responsibilities

Performs evaluation of internal operations, controls, communications, risk assessments and maintenance of documentation as related to regulatory compliance and recommends appropriate changes. Conducts and facilitates internal and external audits to identify, evaluate, disclose and appropriately remedy risks and deficiencies. Coordinates the preparation of and may prepare document packages for regulatory submissions from all areas of company as well as for internal and external audits and inspections. May serve as point of contact for interactions with regulatory agencies for defined matters. Support the creation of a comprehensive risk management and/or quality management, and regulatory oversight program, including specifications for product and service design aligned with Oracle Software Security Assurance and Security Architecture, and/or Quality Management systems. Review specifications. Develop training for GBU development, cloud services, services and operations teams on industry regulatory specifications applicable to their products and services. Execute risk assessments and evaluate risks to the business and develop risk mitigation strategies. Identify industry requirements applicable to Oracle GBUs, and work with members of GBU development, cloud services, services and operations teams to incorporate applicable industry regulatory standards, Oracle security and/or quality policies and customer-contractual obligations into GBU processes and standards. Coordinate industry and regulatory certifications, including managing certification vendors (e.g., PCI, HIPAA,HITECH, ISO, SOC2). Build security documentation and collateral for customers and internal users allowing security to be a differentiator in this GBUs. Build management level metrics and reporting for activities that are owned by the Risk Manager. Execute a vendor security and/or quality management program.

Disclaimer:

Certain US customer or client-facing roles may be required to comply with applicable requirements, such as immunization and occupational health mandates.

Range and benefit information provided in this posting are specific to the stated locations only

US: Hiring Range in USD from: $87,000 to $178,100 per annum. May be eligible for bonus and equity.

Oracle maintains broad salary ranges for its roles in order to account for variations in knowledge, skills, experience, market conditions and locations, as well as reflect Oracle's differing products, industries and lines of business.

Candidates are typically placed into the range based on the preceding factors as well as internal peer equity.

Oracle US offers a comprehensive benefits package which includes the following:

1. Medical, dental, and vision insurance, including expert medical opinion

2. Short term disability and long term disability

3. Life insurance and AD&D

4. Supplemental life insurance (Employee/Spouse/Child)

5. Health care and dependent care Flexible Spending Accounts

6. Pre-tax commuter and parking benefits

7. 401(k) Savings and Investment Plan with company match

8. Paid time off: Flexible Vacation is provided to all eligible employees assigned to a salaried (non-overtime eligible) position. Accrued Vacation is provided to all other employees eligible for vacation benefits. For employees working at least 35 hours per week, the vacation accrual rate is 13 days annually for the first three years of employment and 18 days annually for subsequent years of employment. Vacation accrual is prorated for employees working between 20 and 34 hours per week. Employees working fewer than 20 hours per week are not eligible for vacation.

9. 11 paid holidays

10. Paid sick leave: 72 hours of paid sick leave upon date of hire. Refreshes each calendar year. Unused balance will carry over each year up to a maximum cap of 112 hours.

11. Paid parental leave

12. Adoption assistance

13. Employee Stock Purchase Plan

14. Financial planning and group legal

15. Voluntary benefits including auto, homeowner and pet insurance

The role will generally accept applications for at least three calendar days from the posting date or as long as the job remains posted.

Career Level - IC4

About Us

As a world leader in cloud solutions, Oracle uses tomorrow's technology to tackle today's challenges. We've partnered with industry-leaders in almost every sector-and continue to thrive after 40+ years of change by operating with integrity.

We know that true innovation starts when everyone is empowered to contribute. That's why we're committed to growing an inclusive workforce that promotes opportunities for all.

Oracle careers open the door to global opportunities where work-life balance flourishes. We offer competitive benefits based on parity and consistency and support our people with flexible medical, life insurance, and retirement options. We also encourage employees to give back to their communities through our volunteer programs.

We're committed to including people with disabilities at all stages of the employment process. If you require accessibility assistance or accommodation for a disability at any point, let us know by emailing or by calling in the United States.

Oracle is an Equal Employment Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability and protected veterans' status, or any other characteristic protected by law. Oracle will consider for employment qualified applicants with arrest and conviction records pursuant to applicable law.

The ideal candidate will be a liaison, provide services information, answer questions, support team members and create the upmost relationship and experience for our medical field staff. This role with be a huge overall support role, and assist with building great rapport and retention for the company.

Responsibilities Have great effective communication both internally and externally Must have positive attitude, getting work done and motivates others to do the same without dwelling on the challenges that inevitably come up in any job. Provide all employees with a hospitable experience Multi-tasking multiple projects Verifying healthcare professionals credentials Audits Assist with Onboarding healthcare professionals for assignments Communication with company clients - building strong trusted relationships Interact strongly by phone with our healthcare professionals

Qualifications Proficiency in Microsoft Office suite (Outlook, Excel, Word, PowerPoint, etc.)Excellent written and verbal communication skills Ability to multi-task, organize, and prioritize work

The ideal candidate will be a liaison, provide services information, answer questions, support team members and create the upmost relationship and experience for our medical field staff. This role with be a huge overall support role, and assist with building great rapport and retention for the company.

Responsibilities Have great effective communication both internally and externally Must have positive attitude, getting work done and motivates others to do the same without dwelling on the challenges that inevitably come up in any job. Provide all employees with a hospitable experience Multi-tasking multiple projects Verifying healthcare professionals credentials Audits Assist with Onboarding healthcare professionals for assignments Communication with company clients - building strong trusted relationships Interact strongly by phone with our healthcare professionals

Qualifications Proficiency in Microsoft Office suite (Outlook, Excel, Word, PowerPoint, etc.)Excellent written and verbal communication skills Ability to multi-task, organize, and prioritize work

Description

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.

Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.

American Express' Global Financial Crimes Compliance ("GFCC") team is responsible for leading the enterprise-wide Anti-Money Laundering, Sanctions, and Anti-Corruption compliance functions. This team has global responsibility for identifying, investigating, and reporting suspicious activity, including money laundering and terrorist financing, and provides broad analytical and operational support for the company's enterprise-wide AML function. GFCC is part of the broader Global Risk & Compliance organization.

The GFCC Program Oversight and Risk Management team collaborates with GFCC and other compliance and business partners to bolster the global financial crimes compliance program through program monitoring, enhancements, governance, and risk management for GFCC by developing, overseeing, and executing on reporting, project and issue management, and risk rating and assessments . Team responsibilities include oversight of projects managed across GFCC and external teams; oversight and coordination of Operational Risk Events; management and oversight of formal and internal management reporting, metrics, and identification of key risk indicators; managing development of processes and controls to ensure efficiency and sustainability; and management and execution of the centralized GFCC risk assessment process for the customer risk rating and money laundering risk assessment.

How will you make an impact in this role?

Reporting to a manager within GFCC Program Oversight and Risk Management, responsibilities in this role will include a combination of the following:

• Oversee the Customer Risk Rating (CRR) process, which risk rates every customer/account for anti-money laundering risk.

• Collaborate with Line of Business and Market Compliance Officers to identify changes to the CRR to risk rate customers/accounts.

• Develop risk element rules in a testing environment to simulate changes.

• Analyze large sets of data to validate results and identify drivers of customer risk.

• Document and communicate results and observations to stakeholders.

• Prepare documentation when the changes are implemented to production.

• Provide support to stakeholders and business partners.

Minimum Qualifications

• Proficiency in Microsoft Excel, including advanced functions such as VLOOKUP, pivot tables, and data analysis techniques.

• Self-starter with the ability to take initiative and work independently.

• Excellent time management skills with the ability to manage multiple tasks, proactively identify and address challenges, prioritize tasks, and meet deadlines in a dynamic work environment.

• Strong analytical ability including proficiency in interpreting and analyzing large sets of data.

• Ability to make well-informed decisions based on thorough analysis and critical thinking.

• Strong problem-solving skills with the ability to think creatively and propose innovative solutions to complex problems.

• Proven track record of working collaboratively with the ability to build positive relationships and contribute to collective goals.

• Excellent communication skills, both written and verbal, with the ability to effectively articulate findings and recommendations to diverse audiences.

Preferred Qualifications

• Strong SQL skills with the ability to write complex queries and perform data manipulation tasks.

• Professional certification (e.g. Certified Anti-Money Laundering Specialist (CAMS)) a plus.

• Previous experience in AML compliance, financial crimes investigation, or related roles within the financial services industry.

Qualifications

Salary Range: $65,500.00 to $102,500.00 annually bonus benefits

The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors.

We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:

• Competitive base salaries

• Bonus incentives

• 6% Company Match on retirement savings plan

• Free financial coaching and financial well-being support

• Comprehensive medical, dental, vision, life insurance, and disability benefits

• Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need

• 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy

• Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)

• Free and confidential counseling support through our Healthy Minds program

• Career development and training opportunities

For a full list of Team Amex benefits, visit our Colleague Benefits Site .

American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.

We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.

US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window:

Employment eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.

Job: Compliance

Primary Location: US-Utah-Sandy

Other Locations: US-Arizona-Phoenix

Schedule Full-time

Tags 2LOD_Financial Crimes

Req ID: