Investment Compliance Jobs in Dallas, TX

Robert Half - Dallas, TX, United States (+1 location)

Perform weekly/monthly cash projections for rolling 15 months, including cash payments for investment hires, M&A and share repurchases. Prepare lender compliance calculations, certifications and related

from: linkedin.com - 3 days ago

NexBank - Dallas, TX, United States

, small businesses, and banks as well as some of the largest institutional clients in the capital markets. Our divisions provide commercial banking, mortgage banking, investment banking and corporate

from: linkedin.com - 4 days ago

IQ-EQ - Dallas, Texas

. This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sector

from: resume-library.com - 2 days ago

OMD USA - Dallas, TX, United States

. Leads and orchestrates uncleared campaigns with Investment, BPM and Media Rec teams to ensure timely clearing compliance and payment to our partners. Foster good working relationships and understanding

from: linkedin.com - 12 days ago

AlTi Tiedemann Global - Dallas, TX, United States

compliance-related initiatives Qualifications Bachelor’s degree required Minimum 6 years of financial services compliance experience with an SEC-registered investment adviser or SEC compliance consulting firm

from: linkedin.com - 20 days ago

Recruiting Pains - Dallas, Texas

, and referral generation efforts. Stay abreast of market trends, economic developments, and regulatory changes to provide informed investment advice and strategic recommendations. Maintain compliance

from: resume-library.com (+1 source) - 6 days ago

SNI Financial - Dallas, TX, United States

accounting space, with strong interpersonal and communication skills, and a desire to grow within an expanding company. Responsibilities of this role include: Review investment valuations on a monthly basis

from: linkedin.com - 23 days ago

Wingstop Restaurants Inc. - Dallas, TX, United States

investment portfolio, ensuring compliance with investment policies and achieving optimal returns consistent with the company's risk profile. Prepare and present reports to senior management on treasury

from: linkedin.com - 25 days ago

Dallas, TX

: Yes Travel Required: Yes, up to 50% Texas Drivers License Required: Yes JOB DESCRIPTION: Performs on-site inspections of registered dealers/investment advisers to ensure compliance with the provisions $4,416.67 Monthly

from: Governmentjobs.com - 6 days ago

IQ-EQ - Dallas, Texas

of compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, as amended Conducting forensic testing and verification of internal controls

from: resume-library.com - 9 days ago