Compliance Officers - Dallas, TX - Warehouse Specialists

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 · Who We Are · We are a community built on care. Our caregivers and supporting staff extend compassion to those in need, helping to improve the health and well-being of those we serve, and provide comfort and healing. Your community is our community. · Our Story · We sta ...

Description · The Tenet Compliance Officer reports directly to Tenet Compliance Lead, who reports directly to the Tenet Senior Director Compliance. The Tenet Compliance Officer is responsible for managing the implementation of Tenet's Ethics and Compliance Program in his or her a ...

· 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 ...

Overview · Who We Are · We are a community built on care. Our caregivers and supporting staff extend compassion to those in need, helping to improve the health and well-being of those we serve, and provide comfort and healing. Your community is our community. · Our Story · We sta ...

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 ...

+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 ...

Overview · Who We Are · We are a community built on care. Our caregivers and supporting staff extend compassion to those in need, helping to improve the health and well-being of those we serve, and provide comfort and healing. Your community is our community. · Our Story · We sta ...

Overview · Who We Are · We are a community built on care. Our caregivers and supporting staff extend compassion to those in need, helping to improve the health and well-being of those we serve, and provide comfort and healing. Your community is our community. · Our Story · We sta ...

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 ...

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. · ...

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, TX office. · ...

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 ...

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

· At TIB, we are committed to serving as Trusted Partners, for our community banks and our employees. We take great care to maintain our commitment to excellence and personalized service internally and externally. We are dedicated to providing a diverse work environment that fos ...

Description · The TPR Compliance Officer reports directly to USPI Group Compliance Lead, who reports directly to the USPI Chief Compliance Officer and VP of Compliance Operations. The TPR Compliance Officer is responsible for managing the implementation of Tenet's Ethics and Comp ...

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

Overview · Who We Are · We are a community built on care. Our caregivers and supporting staff extend compassion to those in need, helping to improve the health and well-being of those we serve, and provide comfort and healing. Your community is our community. · Our Story · We sta ...

Overview · Who We Are · We are a community built on care. Our caregivers and supporting staff extend compassion to those in need, helping to improve the health and well-being of those we serve, and provide comfort and healing. Your community is our community. · Our Story · We sta ...

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 ...