Senior Mortgage Compliance Officer - Irving

This role exists to enable responsible, defensible growth across multiple entities. The Compliance Officer is responsible for owning and operationalizing compliance, privacy, and regulatory governance across CallonDoc and its affiliated subsidiaries. · ...

Overview · Monday – Friday Schedule · 4 days onsite, 1 day remote · Location: Phoenix AZ, Irving TX, or Westlake CA · Responsibilities · Complete periodic targeted reviews/testing and validate quality control testing of transactions, processes, and controls. · This process includ ...

The Compliance Officer supports the compliance program of a dually registered broker-dealer and investment adviser. · Responsibilities:Monitor and interpret FINRA, SEC, and state regulatory developments · Conduct communications and trade surveillance reviews to ensure compliance ...

The Compliance Officer will serve as an integral member of client service teams, working closely with Managing Directors, Senior Officers, Associates, and Analysts to deliver high-quality compliance services. · A bachelor's degree is mandatory. Graduate level education is a plus. ...

Overview · Monday – Friday Schedule · 4 days onsite, 1 day remote · Location: Phoenix AZ, Irving TX, or Westlake CA · Responsibilities · Complete periodic targeted reviews/testing and validate quality control testing of transactions, processes, and controls. · This process incl ...

+The Compliance Officer supports the compliance program of a dually registered broker-dealer and investment adviser. · + · Responsibilities: · +Monitor and interpret FINRA, SEC, and state regulatory developments and assess their impact on the firm · ,+ · ,+,+5 years of progressiv ...

Title: Compliance Officer · Employee Classification: Compliance Officer · Campus: University of North Texas - Dallas · Division: DAL-Office of the President · SubDivision-Department: DAL-Office of the President · Department: DAL-Compliance Office-500500 · Job Location: Dallas · S ...

The Compliance Officer will serve as an integral member of client service teams, · working closely with Managing Directors, Senior Officers, Associates, and Analysts to deliver high-quality compliance services. · Managing 15 or more client relationships. · Developing a comprehens ...

We are seeking a Compliance Officer to join our team and support our ongoing commitment to regulatory excellence. · You're a self-starter, but also a finisher. · You work well independently, and you proactively address problems before they arise. · ...

Do you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. · ...

We are seeking a motivated and detail-oriented Compliance Officer to join our Compliance team. This role will focus on reviewing marketing materials, · Serve as the compliance reviewer for marketing · Partner with investor relations to review presentations etc. · and other ad hoc ...

Title: Compliance Officer · Employee Classification: Compliance Officer · Campus: University of North Texas - Dallas · Division: DAL-Office of the President · SubDivision-Department: DAL-Office of the President · Department: DAL-Compliance Office-500500 · Job Location: Dallas · S ...

The Chief Compliance Officer directs all aspects of ETC Brokerage Services compliance affairs. · ...

The Senior Compliance Officer will serve as a member of Standish Compliance senior management and will work strategically with leadership and firm-wide teams to build, grow, and maintain a best-in-class compliance service offering. · The role includes leading and managing a team ...

We are seeking a motivated and detail-oriented Compliance Officer to join our Compliance team. · This role will focus on reviewing marketing materials, · compliance testing, · regulatory filings, · and other ad hoc compliance responsibilities..Serve as compliance reviewer for mar ...

We are committed to serving as Trusted Partners for our community banks and employees. We maintain excellence and personalized service internally and externally. A diverse work environment fosters inclusivity and growth. · 5+ years' prior bank compliance experience. · Expert know ...

Ayuda a desarrollar y mantener un programa de cumplimiento dentro de una empresa creciente en la gestión de inversiones. · ...

Job Summary: · This position reports into the Advisory, Risk and Controls pillar of the Global Financial Crimes Division (GFCD) HQS Technology team. · This position will support the Bank's GFCD compliance program · ...

A multi-disciplinary architectural engineering and construction firm is seeking an Engineering and Safety Compliance Officer to help them ensure that their products processes and systems meet the highest technical regulatory and safety standards at their Dallas office. · ...

The Compliance Officer is responsible for overseeing an organization's compliance with government laws and regulations. · Develop internal company policies and see that they are respected. · Make sure the organization has a clearly defined program for complying with CMS and Insur ...