Compliance Officer Madison-DavisCompliance OfficerDallas / Fort Worth, TXThis role offers broad exposure to multiple areas of compliance, including branch inspections, supervisory controls, employee trading, advertising review, investment advisory compliance, regulatory examinations, and policy governance. A financial services firm is seeking a Compliance Officer to support its broker-dealer compliance program through branch examinations, regulatory oversight, compliance monitoring, and advisory activities.
Compliance Officer, Compliance - Distribution PIMCOCompliance Officer, Compliance - DistributionAustin, TX$108,000–$135,000 / yearAs PIMCO continues to grow its investment advisory and distribution activities, we are seeking a Compliance Officer to join our Legal & Compliance Department and support the broker-dealer compliance program of PIMCO Investments LLC ("PI"), a FINRA-registered broker-dealer and member firm. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.
Compliance Officer Hilltop Holdings IncCompliance OfficerDallas, TXIn addition, this position may support employee trade reviews, advertising and marketing, annual compliance meetings, customer complaints and electronic communications, regulatory requests and examinations and other departmental projects as assigned by management staff. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success.
Senior Compliance Officer Equity Trust CompanySenior Compliance OfficerDallas, TexasSpecialized Experience: Prior experience working within a self-clearing or correspondent clearing environment serving introducing broker dealers or registered investment advisor intermediary clients. Regulatory Knowledge: Deep understanding of FINRA, SEC, and state regulatory requirements or financial risk concepts and practices related to credit, counterparty or exposure monitoring, with demonstrated experience interpreting and applying these rules to broker-dealer operations.
Compliance Officer - Control Room MUFG Americas Holdings CorpCompliance Officer - Control RoomIrving, TX$116,000–$160,000 / yearAdditionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. Perform transactional conflicts of interest (TCOI) process including review of TCOI submissions, escalation to U.S. management and Home Office, as necessary, and working with business units and stakeholders on training, procedures, controls and any required risk mitigation.
Senior Manager ? Bank Regulatory Compliance Officer Madison-DavisSenior Manager ? Bank Regulatory Compliance OfficerDallas, TXThe successful candidate will work closely with business leaders, Legal, Risk, Audit, and Compliance partners to strengthen regulatory frameworks, support remediation efforts, and ensure compliance programs remain aligned with evolving supervisory expectations. A global financial institution is seeking an experienced regulatory compliance professional to join a strategic Compliance Initiatives and Advisory team supporting wholesale banking and capital markets businesses.
Bsa/Aml Compliance Officer - To 110K - Dallas, TX - Job 3484 The Symicor GroupBsa/Aml Compliance Officer - To 110K - Dallas, TX - Job 3484Dallas, TXComprehensive understanding of bank deposit operations, lending activities, cash-intensive and high-risk business banking, and other related consumer banking and compliance functions. Serve as the primary contact for examiners during Financial Crime-related examinations, managing the entire process from engagement to resolution, including working closely with audit teams and managing any required audits.
BSA/AML Compliance Officer - To 110K - Dallas, TX - Job 3484 The Symicor GroupBSA/AML Compliance Officer - To 110K - Dallas, TX - Job 3484Dallas, TXComprehensive understanding of bank deposit operations, lending activities, cash-intensive and high-risk business banking, and other related consumer banking and compliance functions. Serve as the primary contact for examiners during Financial Crime-related examinations, managing the entire process from engagement to resolution, including working closely with audit teams and managing any required audits.
Senior Compliance Officer (CLIA Laboratory Quality Manager) UNIVERSITY OF NORTH TEXAS SYSTEMSenior Compliance Officer (CLIA Laboratory Quality Manager)Fort Worth, TXThe Institute for Translational Research is devoted to bringing novel diagnostics and interventions to patients and families suffering from neurodegenerative diseases, fostering translational research in neurodegenerative diseases at UNTHSC, and Create solutions for a healthier community. Monitor incidents/deviations, calibration records, maintenance logs, and vendor relationships,internal audits and continual quality improvement, environmental conditions, and reagent and supply inventory from a QA/QC perspective and environmental conditions, and reagent and supply inventory from a QA/QC perspective.
Compliance Officer/Risk Manager Bee Busy Wellness CenterCompliance Officer/Risk ManagerHouston, TXFull timeIdentifies potential areas of compliance vulnerability and potential risks associated with fraud, patient. • Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies.
Training Compliance Officer - West Cencore Group LLCTraining Compliance Officer - WestSan Antonio, TXCenCore Group strives to be the trusted and primary source for insight, analysis, and implementation of physical and digital security solutions associated with the development of artificial intelligence and machine learning in the NatSec space. Active Top Secret (TS) security clearance is required at time of hire and is the minimum clearance level necessary to perform this role and support full, independent access to federal protective or similar security environments.
NewSenior Compliance Officer, Saxo Paris Saxo BankSenior Compliance Officer, Saxo ParisParis, TXParis, France About the Job We are seeking an experienced Senior Compliance Officer to join the Compliance function of Saxo Bank France. You will work in a team of three, including the Head of Compliance France, partnering closely with local management and the Head of Compliance Europe in Copenhagen. As a senior compliance pr...
Wealth Management Compliance Officer NextStep RecruitingWealth Management Compliance OfficerDallas, TexasThis is a strong opportunity for a securities compliance professional who wants broad exposure across wealth management, broker-dealer, and investment advisory compliance while joining an established financial services organization. This role is 100% onsite and will support broker-dealer and registered investment adviser compliance activities across a multi-location wealth management environment.
Senior Compliance Officer Broadway BankSenior Compliance OfficerSan Antonio, TXWith primary responsibilities including offering compliance advice to business partners, conducting testing and monitoring for regulatory compliance, creating and analyzing compliance-related reports, and reviewing marketing materials, the Senior Compliance Officer is a compliance generalist with a deep specialization in either deposit or loan compliance. Why Broadway Bank: We are one of the largest independently owned banks in Texas with offerings in personal and private banking, wealth management, business banking and mortgage lending.
Regulatory Compliance Officer - (108090) SanminaRegulatory Compliance Officer - (108090)Carrollton, TXRecognized as a technology leader, SanminaCorporationprovides end-to-end manufacturing solutions, delivering superior quality and support to Original Equipment Manufacturers (OEMs) primarily in the communications networks, defense and aerospace, industrial and semiconductor systems, medical, multimedia, computing and storage, automotive and clean technology sectors. Job DescriptionSanmina Corporation (Nasdaq: SANM) is a leading integrated manufacturing solutions provider serving the fastest-growing segments of the global Electronics Manufacturing Services (EMS) market.
NewCorporate CRA Compliance Officer Glacier BancorpCorporate CRA Compliance OfficerAddison, TexasLifting: Sedentary work: Exerting up to 10 pounds of force occasionally and/or negligible amount of force frequently or constantly to lift, carry, push, pull or otherwise move objects, including the human body. This position will assist in the design and implementation of the Community Reinvestment Act (CRA) program for the company including working with each Division CRA Coordinators, the CRA Officer, and Glacier Managers.
NewAGC, Compliance Officer NextDecade LNG LLCAGC, Compliance OfficerHouston, TXBasic Requirements: 7-10+ years of progressive experience in compliance, regulatory, ethics, or risk management roles, preferably within energy, infrastructure, or other highly regulated industries. This role serves as a strategic advisor to senior leadership, oversees compliance risk management, and drives a culture of integrity across all business operations.
NewPrincipal, Counsel (Ethics & Compliance Officer) L3Harris Technologies IncPrincipal, Counsel (Ethics & Compliance Officer)Greenville, TX$133,000–$247,000 / yearEssential Functions: Internal Investigations: Conduct thorough internal investigations, including document reviews, interviews, and data analysis, including privileged internal investigations conducted under the supervision and direction of in-house and/or outside counsel; strategically plan each phase of investigations and effectively manage the logistics of travel, appointment scheduling, and timely escalation and reporting. The ideal candidate has a passion for creating effective and scalable processes, driving technology adoption, spearheading change management initiatives, developing key metrics to assess trends, and nurturing and managing relationships, is extremely organized and is always looking for opportunities for continuous improvement.
NewWealth Compliance Officer Bok FinancialWealth Compliance OfficerDallas, TXYou’ll gain exposure to a wide range of compliance functions—from reviewing activities and supporting inspections to analyzing data and helping address findings—while building the knowledge and judgment needed to grow within securities compliance. You’ll gain exposure to a broad range of securities and wealth compliance activities, including monitoring, testing, and advisory support across institutional investing, retail sales, public finance, and trading functions.
Junior Compliance Officer (Operations, Junior Analyst) The MIL CorporationJunior Compliance Officer (Operations, Junior Analyst)Houston, TX$35,000–$48,000 / yearAssociates degree in Business, Accounting, Finance, Information Systems, Criminal Justice, or a related field is required; Bachelors degree in Business, Accounting, Finance, Information Systems, Criminal Justice, or a related discipline is preferred. The role assists in reviewing employment eligibility documentation, conducting database research, and preparing audit-ready case files and reports that support administrative enforcement actions and related determinations.