- Wells Fargo (Tempe, AZ)
- …+ Knowledge and understanding of regulatory reporting eg Federal Reserve, Financial Conduct Authority, OCC, SEC etc. + Knowledge and understanding of ... this role:** Wells Fargo is seeking an Independent Testing Specialist in Independent Testing & Validation (IT&V) as part... reporting stakeholders as well as the external financial reporting and regulatory reporting … more
- US Bank (Tempe, AZ)
- …best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We ... you excel at-all from Day One. **Job Description** The Investment Compliance Specialist will provide investment compliance risk oversight and credible challenge from… more
- Morgan Stanley (Tempe, AZ)
- Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management ... of equity-based incentives and savings plans. *Department Profile:* Executive Financial Services ("EFS") supports transactions involving restricted or control stock,… more
- Lincoln Financial Group (Phoenix, AZ)
- …general account team. * Prepares financial foot note information for SEC , GAAP and statutory reporting . * Promotes and enhances organizational initiatives ... will provide timely and accurate investment and derivatives data accounting and reporting for the General Account Invested Assets on a Statutory, GAAP, Management,… more
- Edward Jones (Tempe, AZ)
- …and regulations including, but not limited to BSA, USA Patriot Act, FINRA, SEC , OFAC, OFSI to support a strong anti- financial crime program (AML, ... reporting requirements and procedures, education and awareness of financial crimes + Expected to conduct comprehensive analysis of escalations or… more