Latest Investment Compliance jobs in Lewisville, TX

26 Investment Compliance Jobs in Lewisville, TX

Wealth Management Advisor Claire Myers Consulting - Frisco, TX, United States communications and meetings. Client Advocacy: Advocate for clients' interests and proactively address any concerns or questions they may have regarding their financial plans or investment strategies. Compliance 5 days ago
Accounting Manager (Mostly Remote) Robert Half - Dallas, TX, United States 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 4 days ago
Managing Director - Compliance (Alternative Assets) 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 3 days ago
VP, Senior BSA Compliance Officer 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 5 days ago
Forum: Start a Discussion Join
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 13 days ago
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 7 days ago
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 13 days ago
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 21 days ago
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 7 days ago
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 24 days ago

Top locations