Compliance Officer - Dallas, TX

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. · 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. · ...

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 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 ...

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 ...

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 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. · ...

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

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 ...

The Chief Compliance Officer directs all aspects of ETC Brokerage Services compliance affairs. · This is a senior level role with direct access to the ETCB CEO and President. · ...

We Elevate… Quality of urban life · Serve as the Company's second line of defense by providing area-wide leadership, standards, support, and independent oversight to ensure that all business entities meet ethical compliance responsibilities and manage their respective compliance ...

Opportunity to join an established and rapidly growing investment management business with a national footprint. · Assist the Head of RIA Compliance in the development, implementation, and maintenance of the asset management and securities compliance programs. · Develop current c ...

We're seeking someone to join our team as an Alternative Investments Compliance Officer in Wealth Management Compliance to provide regulatory and compliance advice and guidance to the Wealth Management business groups that are involved in either the design, sale, control, and app ...

The Risk Management function is responsible for identifying, assessing, and mitigating risk for Texas Capital Bank through evaluation and establishment of risk management procedures. · ...

+The Texas Democratic Party is seeking an experienced Chief Accounting Compliance Officer to join the team to elect Democrats across Texas. · +7 years of accounting or finance experience, ideally in a startup or mission-driven environment. · ...

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. · ...

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 Texas Democratic Party is seeking an experienced Chief Accounting Compliance Officer to join the team to elect Democrats across Texas. · This role manages federal funds, including contributions from donors, stakeholders, and partners, and ensures full compliance with all bank ...