Compliance Advisory Jobs in Dallas, TX

NexBank - Dallas, TX, United States

advisory services to clients throughout the U.S. Position Specifications: The VP, Senior BSA Compliance Officer reports to the Chief Compliance Officer/BSA Officer and is a strategic member of the compliance

from: linkedin.com - 7 days ago

AlTi Tiedemann Global - Dallas, TX, United States

Strong working knowledge of SEC rules and regulations applicable to investment advisory firms Facility with compliance-related technologies and systems Superior written and verbal communication skills

from: linkedin.com - 23 days ago

ValorVIP - Dallas, Texas

annual renewal and terminations of registration are in compliance Answers securities and advisory questions from advisors, support staff, and employees Manages the onboarding of registered employees

from: resume-library.com - 10 days ago

Vanguard-IP - Dallas, TX

opportunities. REQUIREMENTS Ideal candidates will have experience advising on privacy and cybersecurity issues, such as risk advisory and compliance counseling, corporate and technology transactions, regulatory

from: get.it - 7 days ago

Highspeed Staffing - Dallas, Texas

relationships, and ensuring adherence to tax laws and regulations. Primary Duties: 1. Lead and oversee the tax department, encompassing tax planning, compliance, and advisory services across individuals

from: resume-library.com - 13 days ago

Terrion Consultancy Services - Dallas, TX, US

compliance monitoring in efforts of mitigating any identified risks; Coordinate regulatory exams; Overseeing high risk compliance areas where advisory is requested of from client(s); Review policies

from: jobvertise.com (+1 source) - More than 30 days ago

Bank of America Merrill Lynch - Dallas, Texas, USA

of the bank’s capabilities to meet client needs and to gain competitive advantage Skills: • Regulatory Compliance • Advisory • Interpret Relevant Laws, Rules, and Regulations • Decision Making • Risk Management

from: Ivyexec.com - 23 days ago

London Stock Exchange Group - Allen, United States

culture Provide career development opportunities for team members Oversight and Advisory Lead a highly effective Compliance function that is positioned to support the business in ensuring compliance Competitive

from: efinancialcareers.com - 28 days ago

Fidelity TalentSource LLC - Westlake, TX

and problem resolution. Expertise in all elements of Managed Account Risk and Compliance and will ensure that there is accurate oversight. Investment knowledge across all Fidelity Managed Accounts including

from: careerbuilder.com - 17 days ago

VIP - Coppell, TX

treasury function and responsibilities Approve the cash activities performed by treasury staff Evaluate treasury policies and ensure compliance Provide treasury advisory services and strategic cash $22.00 - $25.00/Hour

from: careerbuilder.com - 7 days ago