Jobs
>
Dallas

    Risk Compliance Officer - Dallas, United States - Phaxis LLC

    Phaxis LLC
    Phaxis LLC Dallas, United States

    1 week ago

    Default job background
    Description
    Growing Clearing Broker dealer is seeking a strong surveillance candidate to join their compliance team.

    Responsibilities:
    • Collaborate with assigned departments to enhance their policies and procedures.
    • Review and analyze current policies and procedures, identifying areas for improvement.
    • Recommend and implement new and enhanced practices related to regulatory initiatives, new lines of business, and changes in business activities.
    • Provide support for regulatory and internal reviews, including securities lending and trade surveillance.
    • Assist in trade surveillance reviews, including daily trade activity, Rule 606 review, and Blue sheet filings.
    • Demonstrate knowledge of the Nasdaq Trading System (NTS or Nasdaq Smarts), if applicable.
    • Apply in-depth knowledge of SEC and Client trading rules and regulations, with an understanding of NFA regulations as a plus.

    Qualifications:

    • Bachelor's degree required; graduate degree or additional industry certifications preferred.
    • 10+ years of Compliance and Risk experience.
    • Specific knowledge of Institutional Trading, Consolidated Audit Trail, Securities Lending, and Prime Brokerage required, with knowledge of the Futures Market considered a plus.
    • Client Series 7 and 24 required.
    Base Salary - $140,000-$165,000 depending on experience.
  • Hilltop Holdings

    Compliance Officer

    3 weeks ago

    Hilltop Holdings Dallas, United States

    HilltopSecurities is currently hiring a Compliance Officer in Dallas, Texas or St. Paul, Minnesota. The Compliance Department is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk. The department monitors rules and regulations, asse ...

  • Hilltop Securities Inc.

    Compliance Officer

    3 weeks ago

    Hilltop Securities Inc. Dallas, United States

    HilltopSecurities is currently hiring a Compliance Officer in Dallas, Texas or St. Paul Minnesota. The Compliance Department at Hilltop Securities Inc. is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk for Hilltop Securities Inc ...

  • Hilltop Securities Inc

    Compliance Officer

    3 weeks ago

    Hilltop Securities Inc Dallas, United States

    HilltopSecurities is currently hiring a Compliance Officer in Dallas, Texas or St. Paul Minnesota. The Compliance Department at Hilltop Securities Inc. is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk for Hilltop Securities Inc ...

  • Hilltop Holdings

    Compliance Officer

    3 weeks ago

    Hilltop Holdings Dallas, United States

    Job Description · HilltopSecurities is currently hiring a Compliance Officer in Dallas, Texas or St. Paul, Minnesota. The Compliance Department is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk. The department monitors rules an ...

  • Clark Insurance

    Compliance Officer

    5 days ago

    Clark Insurance Dallas, United States

    Company: · MMC Corporate · Description: · What can you expect? · Marsh McLennan's Legal, Compliance and Public Affairs (LCPA) department promotes a culture in which ethical, lawful, and risk mindful behavior is encouraged and reinforced. LCPA develops and implements policies and ...

  • Comerica

    Compliance Officers

    3 weeks ago

    Comerica Dallas, TX, United States

    Compliance Specialist II, Assistant Vice President · The Compliance Specialist II is responsible for providing guidance and direction with respect to compliance with laws and regulations with direction and/or input from management. This includes ongoing guidance as well as assis ...

  • Western Alliance Bancorporation

    Senior Compliance Officer

    2 weeks ago

    Western Alliance Bancorporation Dallas, United States

    Job Title: · Senior Compliance Officer - Advisory and Guidance · Location: · CityScape · What you'll do: · The Advisory Senior Compliance Officer serves as a key subject matter expert in ensuring lines of business compliance with applicable regulatory requirements. This role prov ...

  • Texas Independent Bank

    Bank Compliance Officer

    1 week ago

    Texas Independent Bank Farmers Branch, United States

    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 foster ...

  • Verily

    Deputy Compliance Officer

    3 weeks ago

    Verily Dallas, United States

    Who We Are · Verily is a subsidiary of Alphabet that is using a data-driven approach to change the way people manage their health and the way healthcare is delivered. Launched from Google X in 2015, our purpose is to bring the promise of precision health to everyone, every day. W ...

  • Western Alliance Bank

    Senior Compliance Officer

    3 weeks ago

    Western Alliance Bank Dallas, United States

    Job Title:Senior Compliance Officer - Advisory and GuidanceLocation:CityScapeWhat you'll do:The Advisory Senior Compliance Officer serves as a key subject matter expert in ensuring lines of business compliance with applicable regulatory requirements. This role provides second-lin ...

  • Hamlyn Williams

    Senior Compliance Officer

    3 weeks ago

    Hamlyn Williams Dallas, United States

    Client: · Leading Investment Management Firm (IPO) · Location: · New York City or Dallas - Hybrid · Role / Requirements:Series 7, 24RIA and/or broker-dealer compliance experiencePrevious exposure to RIAs, REIT, mortgages, and similar investment strategies preferredLeadership ...

  • Texas Independent Bank

    Bank Compliance Officer

    3 weeks ago

    Texas Independent Bank Dallas, United States

    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 foster ...

  • Texas Independent Bank

    Bank Compliance Officer

    3 weeks ago

    Texas Independent Bank Dallas, United States

    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 foster ...

  • Western Alliance Bank

    Senior Compliance Officer

    3 weeks ago

    Western Alliance Bank Dallas, United States

    Job Title: · Senior Compliance Officer - Advisory and Guidance · Location: · CityScape · What you'll do: · The Advisory Senior Compliance Officer serves as a key subject matter expert in ensuring lines of business compliance with applicable regulatory requirements. This role prov ...

  • TIB,N.A.

    Bank Compliance Officer

    6 days ago

    TIB,N.A. Dallas, United States

    Job Description · Job Description · 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 ...

  • TIB,N.A.

    Bank Compliance Officer

    1 week ago

    TIB,N.A. Dallas, United States

    Job Description · Job Description 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 di ...

  • Tib N.a.

    Bank Compliance Officer

    5 days ago

    Tib N.a. Dallas, United States

    Job Description Job Description 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 dive ...

  • Job Juncture

    Corporate Compliance Officer

    1 week ago

    Job Juncture Dallas, United States

    Job Description · Corporate Compliance Nurse · This is a corporate, enterprise-wide role, serving as a resource to our programs and senior leadership regarding issues of Compliance & QA/PI. · Service lines: Home Health (skilled), Private Duty, Hospice, Palliative Care, Homecare ( ...

  • Origin Bank

    Compliance Risk Advisory Senior Compliance Officer

    3 weeks ago

    Origin Bank Dallas, United States

    Summary · This Senior Compliance Officer level position supports the Compliance Risk Management Team's Advisory Services Group. Advises first line of defense operational and retail business units on compliance risks impacting their day to day operations. Monitors adherence to com ...

  • Origin Bank

    Compliance Risk Advisory Senior Compliance Officer

    2 weeks ago

    Origin Bank Dallas, United States

    About Origin Bank · Putting relationships first for more than a century, Origin provides a broad range of financial services to small and medium-sized businesses, municipalities, high net-worth individuals and retail clients from over 40 banking centers located throughout Texas, ...