Regulatory Compliance Analyst: FINRA & SEC Focus
BBAE Holdings LLC
BBAE Holdings LLC in Plano, TX is seeking a Compliance Analyst to monitor daily reports, evaluate alerts, and support regulatory programs across FINRA and SEC requirements. You will review risk-based transactions and maintain documentation in a fast-paced, confidential environment. Success requires strong analytical skills, meticulous attention to detail, and the ability to coordinate across Compliance and Operations to resolve issues while meeting deadlines. #J-18808-Ljbffr BBAE Holdings LLC
Vacancy posted 4 days ago
Similar jobs that could be interesting for youBased on the Regulatory Compliance Analyst: FINRA & SEC Focus in Plano, TX vacancy
- ...Redbridge Securities, FINRA Broker-Dealer) Position Summary: The Compliance Analyst supports the firm’s day... ...and escalating potential regulatory or operational issues,... ...ensure adherence to FINRA, SEC, and internal policies... ...the ability to adjust focus. Occasional overtime...SuggestedWork at officeLocal area
- ...Job Title Support Motorola Solutions to obtain regulatory product compliance for mobile video products, fixed cameras and video appliances.... ...characteristic. We are proud of our people-first and community-focused culture, empowering every Motorolan to be their most...SuggestedRelocationFlexible hours
Motorola Solutions
Parker, TX5 days ago $109.9k - $125.4k
...data-driven decision-making. In Capital One’s Compliance and Ethics Organization, we support the business in managing regulatory compliance risk through advice and effective... ...and Script Enhancement (MASE) Compliance is focused on assessing compliance risk in models and...SuggestedFull timeTemporary workPart timeLocal area- ...Organization: Caring, accountability, collaboration, and family-focused care. Recognized Industry Leader: Named Company of the... ...role also manages provider contracting, ensures HIPAA and regulatory compliance, assists with out-of-state Medicaid enrollments, and...SuggestedHourly payFull timeWork experience placementMonday to Friday
Behavioral Innovations
Plano, TX5 days ago $90.72k - $121.52k
...analytical and coordination skills with a focus on process optimization A knack for... ...teamsRequired Skill and Experience• Experience in Regulatory reporting /AML/ Capital Markets/... ....Technical/Domain Skill 1Domain|Banking|Compliance & Regulations Technical/Domain Skill 2Domain...SuggestedFull timeTemporary workRelocation$138.1k - $157.7k
Anti-Money Laundering (AML) Compliance Advisor Manager The Anti-Money Laundering (AML) Compliance... ...the Card Line of Business, with a focus on Card Partnerships; Providing effective... ...or portfolios Engage in Audit, Regulatory, ICTT and other reviews of first and second...Full timePart timeLocal area- The Regulatory Affairs Level III (Senior Specialist) position is responsible for global product registrations and ensuring regulatory compliance in the design, manufacturing, and sales of medical devices (including Class I and II devices, software as a medical device,...
- ...Disclosure Desk Specialist to ensure accurate disclosures and regulatory compliance. The role requires preparing disclosures, reviewing... ...offers a competitive salary and benefits package in a dynamic, growth-focused environment. #J-18808-Ljbffr Green Brick Partners
- ...completion of Agency required Regulatory Reports. Represent Regulatory... ...sustain Regulatory Reporting Compliance. Leads the education and... ...issues and risks in respective focus areas. Be an active participant... ...Senior Regulatory Financial Analyst At Fifth Third, we understand...
- Cornerstone Capital in Plano, TX is seeking an experienced Licensed Loan Officer to join a goal-focused mortgage team. You will promote and sell loan products, manage client relationships, and ensure an accurate and timely closing process. You’ll need at least 2 years in...
- ...Compliance Risk Management Senior Associate Bring your expertise to JPMorgan Chase. As... ...culture in Risk Management and Compliance is focused on thinking beyond traditional... ...sustainable remediation strategies. Support regulatory exams, audits, and testing activities related...
Chase
Plano, TX4 days ago - ...make an impact and grow your career in a supportive and innovative environment. JOB INFORMATION Job Title: Sr Regulatory Affairs & Compliance Specialist Job Code: 20001259 Job Family: Legal, Compliance, & Risk Management FLSA Status: Exempt Job Function...
Delek US
Plano, TX5 days ago - ...Job ID: 1494881 Job Title: Compliance Senior Analyst Duration: 06 Months Location: Plano, TX Pay Rate: $50/hr on W2 Requirements... ...ensure compliance with all applicable local, state and federal regulatory requirements. Detects and reports to the CCO potential...Work experience placementLocal area
Intellipro Group
Plano, TX5 days ago - ...Overview The Technology Risk Assessor is an entry-level role focused on identifying, assessing, and documenting technology risks across... ...of experience in technology, IT risk, cybersecurity, audit, compliance, or governance. Bachelor’s degree in Information Systems,...
Veritis
Plano, TX5 days ago - ...Impact Fossil Group is seeking a motivated Customs Analyst to join our Logistics & Trade Compliance team. In this role, you will ensure that products... ...perform post-entry audits to ensure accuracy and regulatory compliance. Maintain accurate trade compliance records...Summer workRemote workFlexible hours1 day per week
Fossil
Richardson, TX1 day ago $3,000 per month
...walk on roofs, crawl in crawlspaces and be able to lift, stand, squat for 12 plus hours a day if needed. Competencies Adaptability/Flexibility Communication Customer Focus Dependability Managing Conflict Problem Solving/Analysis Productivity Teamwork #J-18808-Ljbffr...Full timeWork at officeFlexible hoursGreen Works
Mckinney, TX2 days ago- Empower is seeking a Compliance Support Professional to ensure regulatory readiness across home health and hospice sites. You will develop and deliver documentation and survey-readiness training, provide on-site and remote education to staff, and support new site onboarding...Remote work
- ...Group in Plano, Texas is seeking a Junior or Assistant in Sales Support within the Regulatory Team. This full-time role involves providing support for clinical studies, ensuring compliance, and performing evaluations of products. The ideal candidate holds a Bachelor's...Full time
- ...Richardson, TX to ensure accurate coding and review of home health OASIS assessments and plans of care. The role targets CMS regulatory compliance, reimbursement optimization, and quality improvement. The candidate will review clinician-provided OASIS data, assign ICD-10...
- ...or an alternative application process. Regulatory Affairs Specialist Full Time Individual... ...leader in developing medical devices that focus on minimally invasive treatments for cancer... ...role in driving global regulatory compliance and product submissions , collaborating...Full timeWork experience placement
$84k - $118.11k
...country?Would you like the ability to join a highly dynamic team focused on providing exceptional client service in the areas of risk... ...?If yes, consider joining Baker Tilly (BT) as a Consumer Regulatory Compliance Senior Consultant! Our Risk Advisory practice provides a...Work experience placementLocal areaWorldwide- Summary Responsible for the regulatory oversight of physical grid infrastructure, transmission system... ...and generation reliability metrics. This role focuses heavily on the non‑cyber NERC Reliability Standards. The Compliance Assurance Specialist - O&P is responsible for...Work at office
- ...to hear from you. Make An Impact We are looking for a Vendor Compliance Analyst to join our Operations team. The Vendor Compliance Analyst... ...be able to collaborate within a multi-functional team Highly focused self-starter Excellent organizational and analytical skills...Summer workFlexible hours
- ...review and process producer licensing applications, ensuring compliance with state, federal, and corporate regulations. The role... ..., demographic data, and supplier inquiries with a focus on accuracy and regulatory alignment. You will serve as a go-to expert for licensing...
- ...Job Description The Human Resources Compliance Analyst conducts specialized audits, analyzes and reports... ...and dashboards to support adherence to Company regulatory and operational requirements. This role focuses on compliance with federal, state, and local employment...Full timeWork experience placementWork at officeLocal area
Raising Cane's
Plano, TX7 days ago - ...Brief Overview of Position The Loan Operations Funding & Flood Compliance Analyst is responsible for the accurate execution of all commercial... ...are completed in accordance with Bank policy and regulatory standards. The analyst partners with Lending, Credit, Compliance...Immediate startDay shift
- Capital One in Plano, TX seeks an Anti-Money Laundering (AML) Compliance Advisor Manager to lead second-line risk management ensuring compliance with AML laws across Card Partnerships. The role focuses on providing expert guidance, risk challenge, and remediation plans...
- Fossil Group in Richardson, TX is seeking a Vendor Compliance Analyst to join the Operations team. The role focuses on onboarding analysis, managing customer requirements, and minimizing non-compliance deductions while coordinating with internal and external stakeholders...
- ...Description Solis Mammography is a specialized healthcare provider focused on supporting long-term breast health, with a 40-year... ...maintains provider credentials and documents, ensuring compliance with regulatory, payor, and organizational standards. The Credentialing...Part time
- ...analysis, and contribution to training programs. Ideal candidates will have strong analytical skills and HR domain knowledge, with a focus on employee engagement and communication strategies. This is a contract position within the IT Services and Consulting sector. #J-18...Contract work
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Regulatory Compliance Analyst: FINRA & SEC Focus. Be the first to apply!
Related searches
- regulatory compliance analyst Plano, TX
- medicare compliance specialist Plano, TX
- regulatory analyst Plano, TX
- senior compliance officer Plano, TX
- legal compliance officer Plano, TX
- senior compliance analyst Plano, TX
- regulatory specialist Plano, TX
- risk and compliance analyst Plano, TX
- information security compliance analyst Plano, TX
- aml compliance analyst Plano, TX