Latest Investment Compliance jobs in Plano, TX - JobisJob United States Mobile

17 Investment Compliance Jobs in Plano, TX

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
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
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
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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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
VP Statutory Accounting & Capital Management Empower - Garland, United States . Establish and manage to key business indicators to ensure effective and timely reporting. Stay abreast of financial reporting and regulatory developments related to investment accounting which can impact Competitive 11 days ago
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
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
Accounting Specialist - Mid-Level (3-5 years) Experis - Dallas, Texas multiple trading relationships for client accounts held within our firm. Representatives in this position will support trade settlement functions with Investment Advisors who execute trades away from Client 10 days ago
Senior Associate - Compliance (Alternative Assets) 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 5 days ago

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