Senior Compliance Officer - Dallas, United States - Hamlyn Williams

Compliance Officer

1 week ago

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 ...

Compliance Officer

1 week ago

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 ...

Compliance Officer

1 week ago

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 ...

Compliance Officers

1 week ago

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 ...

Compliance Officer

1 week ago

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 ...

Senior Compliance Officer

1 week ago

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-line independent oversight and guidance regarding business produc Compliance Officer, Advisor, ...

Bank Compliance Officer

1 week ago

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 ...

Senior Compliance Officer

5 days ago

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 ...

Deputy Compliance Officer

1 week ago

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 ...

Senior Compliance Officer

5 days ago

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 ...

Bank Compliance Officer

1 week ago

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 ...

Bank Compliance Officer

6 days ago

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 ...

Senior Compliance Officer

1 week ago

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 ...

Senior Compliance Officer

2 weeks ago

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

Bank Compliance Officer

2 days ago

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 ...

Compliance Risk Advisory Senior Compliance Officer

1 week ago

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 ...

Compliance Risk Advisory Senior Compliance Officer

2 days ago

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, ...

SBE Compliance Officer.0004500

1 week ago

Responsible for the development, oversight and maintenance of Dallas County's Small Business Enterprise (SBE) contract data collection system, reporting system(s), and records, including SBE/HUB/DBE utilization; Ensures prime contractor adherence to the SBE participation included ...

Deputy Chief Compliance Officer

1 week ago

Deputy Chief Compliance Officer · The Deputy Chief Compliance Officer role provides support to the Chief Compliance Officer (CCO) in managing the Compliance function within the organization. The Deputy CCO will be responsible for providing guidance and oversight across various as ...

Compliance Risk Advisory Senior Compliance Officer

5 days ago

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, ...