Compliance Officer Salary at Hilltop Securities Independent Network Inc BETA

Why Join Us: Privately-held, fast-growing and profitable company – progression opportunities as business grows Flexible and autonomous working culture with work / life balance Excellent compensation and benefits package Responsibilities: Manage, develop and refine compliance function and processes in conjunction with General Counsel Preparation of regulatory reports (Section 13 filings, Form ADV, Form PF, etc.) to ensure all regulatory requirements are met Perform testing of policies and procedures to assess adherence and effectiveness and document the results in coordination with the firm’s compliance consultant Conduct electronic communication surveillance for compliance risks including MNPI, Code of Ethics obligations and other compliance issues Maintain the firm’s Restricted List and conduct trade surveillance related thereto and other compliance policies Review marketing materials (firm presentation, DDQ, investor letters, monthly performance report, etc.) to ensure adequate discl

The Compliance Anti Money Laundering Risk Management Officer is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to utilize established disciplinary knowledge to identify inconsistencies in data or result and formulate strategic recommendations on policies, procedures, and practices. Responsibilities: Identify, vet and address potential risks or escalated issues with the assistance of functional partners Collaborate with the team to provide advice to business with respect to applicability of policies and implementation of AML program and regulatory changes Provide input/advice on business initiatives, new products, and complex transactions Supervise and participate in internal assurance processes such as Enterprise wide AML risk assessment, self-assessment, and internal audit Promot

BSA/AML Compliance Officer - To $110K - Dallas, TX - Job # 3484 Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former bankers or accountants themselves! We know how to evaluate the very best banking and accounting talent available in the market. Whether you are a candidate seeking a new opportunity or a bank or company president trying to fill an essential position, The Symicor Group stands ready to deliver premium results for you. The Position Our client is seeking to fill a BSA/AML Compliance role in the greater Dallas, TX area. This role will be responsible for the administration of the Bank's regulatory compliance function. This position comes with a generous salary of up to $110K and full benefits package. (This is not a remote position.) BSA/AML Compliance Officer r

At Epiroc, we're on an exciting journey of growth, and we're searching for a dedicated Global Trade Compliance Specialist to join us. If you're passionate about ethical trade compliance, have excellent communication skills, and thrive in a dynamic environment, we want to hear from you. Ready for global challenges and endless opportunities? Join us! Mission for the team The Global Trade Compliance team at Epiroc has a clear vision - to serve as a business enabler, converting Trade Compliance into a competitive advantage and key asset. We support all divisions and functions in achieving their strategic and operational objectives while ensuring continuous best practices, compliance with ever-changing import and export laws, and striving for performance optimization. We're not just about rules; we're about making trade compliance a cornerstone that supports Epiroc's bottom line. Diversity is the cornerstone of our team. We embrace differences in gender, ethnicity, and age, believing in the

Job Details Job Location Cantex Corporate - Carrollton, TX Position Type Full Time Job Category Compliance Description Job Summary: The Chief Compliance Officer leads, oversees, and administers Cantex Continuing Care Network's Compliance Program in accordance with applicable standards and best industry practices. Cantex's primary service lines include long-term care, home health, hospice, pharmacy, and an I-SNP health plan. Benefits: Competitive Wages 401k with match Medical, Dental, Vision & Supplemental Insurance Vacation, Sick, Personal Holiday & Paid Holidays Short-Term & Long-Term Disability Life Insurance Tuition & CEU Reimbursement Rewards & Recognition Program Qualifications Qualifications: Extensive experience deploying compliance infrastructure and following best practices for an effective Compliance Program in a multi-faceted healthcare organization. A bachelor's degree is required, and Certification in Healthcare Compliance is preferred. Experience as a compliance professio

Job Summary This is a full-time on-site role for a Client Services Associate in our Dallas, TX office. The Client Services Associate will be responsible for providing exceptional customer service and support to our clients. Job requirements include strong communication skills, eagerness to learn, self-starter, proactive, ability to work alone and as a team member, detail oriented, strong organizational skills, and a strong customer service mentality. The job responsibilities include execution of service requests, maintenance of portfolio data, client data management in CRM, preparation of custodian and internal paperwork, and an eagerness to go above and beyond. Qualifications The Client Service Associate typically requires: 3-5 years of experience in Financial Services Industry Bachelor’s degree from accredited college or university Proficiency with Microsoft Office Experience with Salesforce is a plus Experience with Orion Portfolio Solutions is a plus Excellent client service skills

Join Triumph Financial! At Triumph Financial, we're focused on creating value by driving business and communities of all sizes toward the future. That's why we're looking for passionate, solutions-oriented people to join our team. As a values-driven financial service company, our goal is to help our clients succeed and our communities prosper - and that starts with forward-thinking professionals dedicated to our purpose of Helping People Triumph. Position Summary The VP, Enterprise Compliance Officer role provides support to the EVP, Enterprise Risk and Compliance in managing the compliance program within the Company. The VP, Enterprise Compliance Officer will be responsible for managing all aspects of the Company's compliance program including program management, risk assessment, control assessment, regulatory change management and complaint management. The ideal candidate will embrace change, influence a positive culture of compliance throughout the Company, and adapt the compliance

Director, Compliance Research & Academics Location: Dallas, TX (Hybrid - 3 Days Onsite, 2 Days WFH) Employment Type: Direct Hire Salary: Up to $180K (No Bonus) Reports To: VP of Compliance Direct Reports: 3 Analysts About the Role Wheeler Staffing Partners is hiring a Director, Compliance Research & Academics for our client in Dallas, TX. This individual will be responsible for overseeing compliance programs related to research and academic operations within a large-scale academic medical and research organization. Reporting directly to the VP of Compliance, this role ensures adherence to federal, state, and institutional regulations related to research compliance. The ideal candidate will have extensive academic medical compliance experience, strong auditing/monitoring expertise, and leadership in compliance programs for research and academic environments. Key Responsibilities Regulatory & Compliance Oversight Develop, implement, and refine compliance policies and procedures for resea