Senior Compliance Officer - Frisco

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. · ...

Monet Bank is pioneering the future of banking and money movement — faster, more efficient, and built for the modern financial ecosystem. · Collaborates effectively as part of the Senior Management Team to achieve overall Bank goals. · Provides management briefing regarding emerg ...

+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 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. ...

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. · ...

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 ...

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 ...

Bring your expertise to JPMorgan Chase and help the firm grow its business in a responsible way by anticipating new and emerging risks. · ...

Asher Med operates as a Management Service Organization (MSO), supporting wellness businesses and working with providers and pharmacies that deliver healthcare services nationwide. · ...

Asher Med is hiring a Healthcare Compliance Officer to help ensure operations consistently align with federal and state healthcare laws. · ...

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 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 ...

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. · ...

The Chief Compliance Officer directs all aspects of ETC Brokerage Services compliance affairs. · Monitors compliance with Company policy and regulatory guidelines to ensure compliance with FINRA, SEC, MSRB, State regulations, · ...

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 ...

The Risk and Compliance Officer supports execution of the Bank's Integrated Risk Management framework. · Supports the development implementation and maintenance of risk frameworks policies and procedures. · Participates in risk governance committees and prepare documentation as n ...

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 ...

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