Latest Investment Compliance jobs in Texas - JobisJob United States Mobile

54 Investment Compliance Jobs in Texas

VP of Asset Management / Operations Incubation Capital Partners - , TX, United States years of direct multifamily asset management experience, ideally with exposure to workforce and affordable housing assets; development experience and familiarity with affordability compliance is preferred 5 days ago
Accounting Specialist Akkodis - Roanoke, TX, United States our firm. Representatives in this position will support trade settlement functions with Investment Advisors who execute trades • Ensure compliance of SEC /FINRA regulations • Ensure proper documentation 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
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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Financial Controller Murray Resources - Cleveland, TX, United States for the annual external audit. Present recommendations to management on short- and long-term financial objectives and policies. Provide financial analysis with an emphasis on capital investments, pricing decisions 8 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
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
Compliance Officer Amherst - Austin, TX, United States of firm’s compliance program, including management of the compliance calendar and oversight of recordkeeping · Monitor compliance with all regulatory requirements and investment guidelines of the firm’s 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
Chief Financial Officer ONWARD - , TX, United States and leadership on decision-making issues affecting the organization (e.g., evaluation of potential alliances, acquisitions, and/or mergers and pension funds and investments). - Prepare and present accurate 13 days ago

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