22 Investment Compliance Jobs in Irving, TX
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Mutual Fund Specialist Resolute Investment Managers - Irving, TX 75039, USA Responsibilities Assists with the preparation, review, and filing of registration statements and related documentation for the Funds to ensure accuracy and compliance with regulatory guidelines Collaborates well 8 days ago
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Analyst / Sr. Analyst, Compliance (Broker Dealer) Resolute Investment Managers - Irving, TX 75039, USA Resolute Investment Managers, Inc. Analyst / Sr. Analyst, Compliance (Broker Dealer) Resolute Investment Managers, Inc. ("Resolute ") is a diversified, multi-affiliate asset management platform More than 30 days ago
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Associate Director, Finance Operations 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 8 days ago
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Senior Compliance Analyst Resolute Investment Managers - Irving, TX 75039, USA Resolute Investment Managers, Inc. Senior Compliance Analyst Resolute Investment Managers, Inc. ("Resolute ") is a diversified, multi-affiliate asset management platform that partners with affiliated More than 30 days ago
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Compliance Manager - Wealth Management 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 16 days ago
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Treasury Analyst Ribbon Communications - Plano, TX, United States planning Work with various teams and stakeholders to accomplish objectives Ensure compliance with policies and controls Pro-actively seek out areas to add value Global Cash Management Short term borrowing 8 days ago
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Wealth Manager 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 2 days ago
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Portfolio Accountant 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 19 days ago
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Treasury Manager 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 21 days ago
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Financial Examiner I (posting #20-24) - Dallas 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 2 days ago
Top locations
- Dallas, TX (29)
- Fort Worth, TX (10)
- Plano, TX (4)
- Westlake, TX (2)
- Carrollton, TX (1)
- Garland, TX (1)
- Denton, TX (1)
- Alvarado, TX (1)
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