Compliance Officer: Audits, Advisory & Regulatory Oversight
Hilltop Securities Inc.
HilltopSecurities is seeking a Compliance Officer to oversee policy enforcement and on-site audits for its HilltopSecurities Independent Network Inc. and affiliated units. The role focuses on surveillance, employee trade reviews, advertising compliance, and regulatory requests. You will travel 30–40% to branch and home office locations; provide training, participate in annual CEO Certification, and help update supervisory policies. #J-18808-Ljbffr Hilltop Securities Inc.
Vacancy posted 4 days ago
Similar jobs that could be interesting for youBased on the Compliance Officer: Audits, Advisory & Regulatory Oversight in Dallas, TX vacancy
$148.5k - $247.5k
...our team as a Senior Digital Asset Advisory Compliance Officer in U.S. Bank Compliance to shape the... ...system that supports innovation and regulatory integrity.In the Legal & Compliance... ...within the U.S. Bank Non-Financial Risk Oversight team, which is responsible for...RegulatoryTemporary work- ...The Compliance Department is responsible for ensuring... ...Inc.). The Compliance Officer responsibilities may include... ...on-site compliance audits of, branch locations... ...electronic communications, regulatory requests and... ...Assist with investment advisory compliance, including...RegulatoryFull timeWork at officeHome office
PrimeLending
Dallas, TX5 days ago - ...seeking someone to join our team as Field Compliance Advisory Coverage in Wealth Management (WM)... ...overseeing the Firm's management of legal, regulatory and franchise risk. This is a Director... ...subject matter coverage and advisory oversight across key Business Units including...Regulatory
$108k - $185k
..., Artificial Intelligence Compliance Officer in Wealth Management Compliance... ...to provide second-line oversight, advisory support, and governance... ...innovation while meeting regulatory and firm requirements.In the... ...regulatory inquiries, internal audits, and examinations (e.g.,...RegulatoryTemporary workLocal area- ...Finance & Accounting Advisory – Director Directors... ...Enjoy the flexibility of office/remote/client site... ...deliverables of financial and regulatory information in... ...S-1 and S-4 filings, audit coordination). Serve... ...engagements, including oversight of engagement economics...RegulatoryWork at officeRemote work
CFGI
Dallas, TX1 day ago - ...Financial Crimes (GFC) Senior KYC Advisory Officer. In the Legal & Compliance division, we assist the Firm in achieving... ...the Firm's management of legal, regulatory and franchise risk. This is an... ...responsibility for governance, oversight, and execution of the Firm's Anti-...RegulatoryTemporary workWork at office3 days per week
PowerToFly
Dallas, TX3 days ago - ...of our Dallas, TX office and will have a... ...OVERVIEW**The Senior Compliance Officer reports... ...to external regulatory requirements and... ...Conducts or assists in oversight of trade blotters... ..., coordinate audits, and implement compliance... ...and investment advisory business,...RegulatoryWork at office
Equity Trust Company
Dallas, TX5 days ago $161.93k - $269.88k
...technical guidance, project oversight, and cross-functional... ..., SPAC, and other CMT advisory engagements. You’ll... ....Utilize Microsoft Office Suite, with particular... ...environments.Stay current on regulatory and capital markets... ...opportunities. Our audit professionals are committed...RegulatoryWork at officeLocal areaRemote workVisa sponsorship$70k - $90k
...Financial Group is currently seeking an Advisory Compliance Analyst to sit within a team and be a... ...is a hybrid role, 2-3 days weekly in office. Candidates must be located in Dallas,... ...policies and procedures Assist with regulatory requests Collaborate and provide guidance...RegulatoryWork at officeFlexible hours- ...Beach / PhiladelphiaAmerica - Office of the CFO /Office of the... ...solutions across Transaction Advisory Services (TAS), Valuations (... ...backgrounds in accounting, finance, audit, operations and consulting,... ...principles and S-X regulatory compliance to support clients navigating...RegulatoryInterim roleWork at officeRelocation
$98.59k - $157.66k
...00 employees. USPI Compliance Officer Midwest - The role is... ...Compliance Leadership & Advisory Serve as the primary... ...Provide guidance on regulatory, compliance, ethics,... ...effective compliance oversight. Program... ...retaliation. Risk Assessment, Auditing & Corrective Action...RegulatoryFor contractorsWork at officeRemote workRelocation packageFlexible hours- ...Information Security Risk and Compliance Analyst at our Dallas, TX... ...by executing defined control oversight and risk support activities.... ...foundational risk, control, and regulatory knowledge.Responsibilities:Perform... ...tracking systems.Assist with audit and regulatory readiness by...RegulatoryFull time
- City of Garland seeks a Compliance Assurance Specialist - O&P to drive regulatory oversight of grid reliability and O&P standards. You will translate SME knowledge into audit-ready processes and manage evidence for internal and external audits. The role requires strong...Regulatory
- HilltopSecurities is looking to hire a Compliance Officer who will support both broker... ...providing investment advisory support, compliance... ...conduct on-site compliance audits of, branch locations and home... ...marketing, customer complaints, and regulatory requests and examinations...RegulatoryWork at officeHome office
$120k - $156k
..., digital reporting, risk advisory, treasury and more. Clearsulting... ...) with additional offices in Chicago, IL; Columbus,... ...leverage technology to manage compliance risks and regulatory needs. Build and maintain... ...of controls integration, audit and compliance experience....RegulatoryRemote workVisa sponsorshipFlexible hours- Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to... ...to regulatory examinations, audits and inquiries. You'll be part... ...Workplace Solutions, Executive Office, Corporate Planning and Management...RegulatoryWork at office
- Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the... ...regulatory examinations, audits and inquiries. You'... ...Group ('BIG') is an advisory group in the Legal... ...Americas team has offices in New York and Dallas...RegulatoryWork at office
- ...Specialized Advisory | Big 4 Audit Background Required Transition from external audit into strategic advisory work. This role is designed... ...Prepare organizations for capital markets transactions and regulatory reporting. Support accounting considerations during acquisitions...RegulatoryH1bRelocationRelocation package
Lighting Staffing Agency
Dallas, TX1 day ago - ...Team.In the Legal & Compliance division, we... ...management of legal, regulatory and franchise... ...Including governance, oversight and execution of... ....Maintain audit ready documentation... ...employees in 1,200 offices across 42 countries... ...Test:Department:Enterprise Advisory...Regulatory
$119.5k - $329.5k
...financial reporting, and compliance issues, and provide... ...experienced accounting and regulatory professionals,... ...DoAs an SEC & Accounting Advisory Senior Director, you will... ...client personnel, audit and advisory professionals... ...within the National Office at public accounting...RegulatoryFull timeWork at office- ...).In the Legal & Compliance division, we assist... ...of legal, regulatory and franchise risk... ...sanctions model oversight).Prepare summaries... ...documentation to support audits, regulatory... ...employees in 1,200 offices across 42 countries... ...Test:Department:Enterprise Advisory...RegulatoryLocal area
$120k - $205k
...Financial Crimes (GFC) Senior KYC Advisory Officer In the Legal & Compliance division, this Vice President‑level... ...to key stakeholders on KYC regulatory and policy requirements and suggest... ...control changes. Manage governance and oversight of KYC efforts, including the KYC...RegulatoryWork at officeWorldwide3 days per week- ...that implements federal, state and local regulatory and NCQA accreditation requirements.... ...the proper department. Assists with oversight audits of delegated and non-delegated providers... ...history Skills Checklist - analyst, compliance/credentialing, Microsoft/IT Copy of Certification...RegulatoryLocal area
ThreePDS Inc.
Dallas, TX2 days ago - ...Controllers, Chief Accounting Officers, Private Equity sponsors,... ...Armanino service lines, including Audit, Tax, Risk Assurance, Digital... ..., high-value consulting and advisory engagements. Strong... ...markets activity, and evolving regulatory environments. "Armanino" is the...RegulatoryFull timeContract workWork experience placementLocal areaFlexible hours
- Vanguard is seeking a Senior Compliance Advisor to support VPIM, shaping the future of personalized investment offerings. You will partner with risk, legal, and business units to ensure regulatory integrity and operational excellence across the lifecycle. Ideal candidates...Regulatory
$212.6k - $250.1k
...engagements within our growing CFO Advisory team. This role is for a... ...confidence of Controllers, audit partners, and finance technology... ..., Chief Accounting Officers, internal audit, external audit... ...technology, AI-native close tools, regulatory developments, and leading practices...RegulatoryLocal areaImmediate startFlexible hours- ...work out of our local office or client's location up... ...accounting and advisory firms in the industryYou... ...grants monitoring and oversight, including recipient and... ..., grant closeout, and compliance requirementsGuide clients... ...up with ever-changing regulatory requirements,...RegulatoryFull timeWork at officeLocal area2 days per week
$119k - $164k
...obstacles. The Opportunity We're hiring a Compliance Officer to serve as the functional compliance... ...through offboarding, including oversight of ongoing IAR activity. Program build... ...with ambiguity as programs are built. Regulatory expertise — Strong working knowledge of...RegulatoryWork at officeImmediate start3 days per week- Job Description Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm... ...to regulatory examinations, audits and inquiries. You'll be part... ...in New York, we maintain offices around the world. We believe...Regulatory
$75k - $113k
...combination of ever-changing regulatory and financial reporting requirements... .... Riveron’s Accounting Advisory team partners with our... ...rules because we do not provide audit, review, or compilation services... ...well-being in and out of the office. Want to stay connected with...RegulatoryFull timeContract workWork at office
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Officer: Audits, Advisory & Regulatory Oversight. Be the first to apply!
Related searches
- compliance coordinator Dallas, TX
- compliance data analyst Dallas, TX
- regulatory specialist Dallas, TX
- compliance associate Dallas, TX
- quality compliance specialist Dallas, TX
- risk compliance officer Dallas, TX
- risk and compliance analyst Dallas, TX
- regulatory officer Dallas, TX
- compliance specialist Dallas, TX
- compliance officer Dallas, TX