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Origin Bank
Dallas, TX, United States
Summary This Senior Compliance Officer level position supports the Compliance Risk Management Team's Advisory Services Group. Advises first line of defense operational and retail business units on compliance risks impacting their day to day operations. Monitors adherence to compliance risks tolerances. Monitors third party vendor risks impacting c
Job Source: Origin BankThe Ladders
Dallas, TX, United States
Summary This Senior Compliance Officer level position supports the Compliance Risk Management Team's Advisory Services Group. Advises first line of defense operational and retail business units on compliance risks impacting their day to day operations. Monitors adherence to compliance risks tolerances. Monitors third party vendor risks impacting c
Job Source: The LaddersGoldman Sachs
Dallas, TX, United States
Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second li
Job Source: Goldman SachsCaterpillar, Inc.
Irving
**Career Area:** Legal and Compliance **Job Description:** **Your Work Shapes the World at Caterpillar Inc.** When you join Caterpillar, you're joining a global team who cares not just about the work we do – but also about each other. We are the makers, problem solvers, and future world builders who are creating stronger, more sustainable communiti
Job Source: Caterpillar, Inc.Confidential
Dallas, TX, United States
Head of Risk & Compliance About the Company Well-established organization providing high-quality services Industry Financial Services Type Privately Held About the Role The Head of Risk & Compliance will be responsible for spearheading the organization's global compliance and risk functions in addition to establishing robust compliance controls a
Job Source: ConfidentialLitigiven
Dallas, TX, United States
Job Posting: Compliance Officer Location: Dallas, TX, On-Site About Litigiven: Founded in 2022, Litigiven is a pioneering technology company based in Texas, revolutionizing the legal industry with advanced AI solutions. Our mission is to empower legal professionals with precise, data-driven insights, enhancing their decision-making capabilities
Job Source: LitigivenUnited Services Automobile Association (USAA)
Plano, TX, United States
Why USAA? At USAA, we have an important mission: facilitating the financial security of millions of U.S. military members and their families. Not all of our employees served in our nation's military, but we all share in the mission to give back to those who did. We're working as one to build a great experience and make a real impact for our member
Job Source: United Services Automobile Association (USAA)Grant Thornton
Dallas, TX, United States
Job Description As a Regulatory Compliance and Operational Risk Manager, you will get the opportunity to grow and contribute to our clients' business needs by providing in-depth technical knowledge on emerging regulations and help organizations leverage efficiencies within the Risk Advisory Practice - all with the resources, environment, and suppo
Job Source: Grant ThorntonDallas, TX, United States
Growing Clearing Broker dealer is seeking a strong surveillance candidate to join their compliance team.
Responsibilities: Collaborate with assigned departments to enhance their policies and procedures.
Review and analyze current policies and procedures, identifying areas for improvement.
Recommend and implement new and enhanced practices related to regulatory initiatives, new lines of business, and changes in business activities.
Provide support for regulatory and internal reviews, including securities lending and trade surveillance.
Assist in trade surveillance reviews, including daily trade activity, Rule 606 review, and Blue sheet filings.
Demonstrate knowledge of the Nasdaq Trading System (NTS or Nasdaq Smarts), if applicable.
Apply in-depth knowledge of SEC and Client trading rules and regulations, with an understanding of NFA regulations as a plus.
Qualifications: Bachelor's degree required; graduate degree or additional industry certifications preferred.
10+ years of Compliance and Risk experience.
Specific knowledge of Institutional Trading, Consolidated Audit Trail, Securities Lending, and Prime Brokerage required, with knowledge of the Futures Market considered a plus.
Client Series 7 and 24 required.
Base Salary - $140,000-$165,000 depending on experience.
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Email Alert for Risk Compliance Officer jobs in Dallas, TX, United States
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