Senior Compliance Associate - Dallas

Description · The Tenet Compliance Associate reports directly to the Tenet Compliance Lead, who reports directly to the Tenet Senior Director Compliance. The Tenet Compliance Associate assists the Tenet Compliance Officer - AZ and the Tenet Compliance Lead with the management and ...

Standish Compliance Services, LLC (Standish Compliance) is comprised of a team of former SEC regulators, seasoned private fund experts, certified AML/KYC specialists, IT-proficient staff, and professional compliance consultants. We serve as an extension of our clients' in-house c ...

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 st ...

About Futu US Inc. · Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). · Our core mission revolves around inn ...

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 ...

About Futu US Inc. · Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). · Our core mission revolves around inn ...

About Futu US Inc. · Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). · Our core mission revolves around inn ...

· About Barrow Hanley Global Investors: Founded in 1979, Barrow Hanley is a diversified investment management firm offering value-focused investment strategies spanning global equities and fixed income. Recognized as one of the few remaining firms dedicated exclusively to value ...

· Hi, we're Oscar. We're hiring an Associate, Risk / Compliance to join our Corporate Compliance team. · Oscar is the first health insurance company built around a full stack technology platform and a relentless focus on serving our members. We started Oscar in 2012 to create th ...

· Hi, we're Oscar. We're hiring an Associate, Risk / Compliance to join our Corporate Compliance team. · Oscar is the first health insurance company built around a full stack technology platform and a relentless focus on serving our members. We started Oscar in 2012 to create th ...

We're hiring an Associate, Risk / Compliance to join our Corporate Compliance team.Oscar is the first health insurance company built around a full stack technology platform and a relentless focus on serving our members. · ...

The Sr. Compliance Associate is a highly visible role responsible for providing support to the Chief Compliance Officer (CCO) in the oversight of the compliance program for Barrow Hanley. · Manage compliance with and meet deadlines to fulfill assigned SEC state federal foreign co ...

Altruist is transforming the multi-trillion dollar wealth management industry by building an AI platform for wealth professionals. · ...

About Barrow Hanley Global Investors: Founded in 1979, Barrow Hanley is a diversified investment management firm offering value-focused investment strategies spanning global equities and fixed income. Recognized as one of the few remaining firms dedicated exclusively to value inv ...

Job summary:Senior Compliance Associate · About Barrow Hanley Global Investors: Founded in 1979, Barrow Hanley is a diversified investment management firm offering value-focused investment strategies spanning global equities and fixed income... · Key Responsibilities:Manage compl ...

This role supports the compliance program of a dually registered broker-dealer and investment adviser. This role is responsible for ensuring adherence to regulatory requirements and internal policies, · Monitor and interpret FINRA, SEC, and state regulatory developments · Conduct ...

About the Role: · The Compliance Director will play a key leadership role in ensuring the firm adheres to all applicable regulatory requirements, internal policies, and industry best practices. This individual will develop, manage, and oversee the firm's compliance framework whil ...

This role supports the compliance program of a dually registered broker-dealer and investment adviser ensuring adherence to regulatory requirements and internal policies supporting day-to-day compliance operations assisting with regulatory audits and internal reviews · Monitor an ...

About the Role: The Compliance Director will play a key leadership role in ensuring the firm adheres to all applicable regulatory requirements, internal policies, and industry best practices. This individual will develop, manage, and oversee the firm's compliance framework while ...

The Technology Operations Associate will work as an integral part of the Standish Compliance Team to deliver exceptional compliance services. · The Technology Operations Associate will have the unique opportunity to learn the financial services industry and SEC compliance practic ...