Senior Supervisory Analyst - Wealth Compliance
U.S. Capital Wealth
U.S. Capital Wealth (USCW) in Houston, TX seeks a Supervisory Analyst to assist the Branch Manager and Control Officer with daily supervision, record-keeping, and operations. The role requires FINRA licensing familiarity, 5+ years in financial services, and strong Excel/CRM expertise to review activities and maintain compliance. This is a full-time in-office position supporting a growing advisory team. #J-18808-Ljbffr U.S. Capital Wealth
Vacancy posted 4 days ago
Similar jobs that could be interesting for youBased on the Senior Supervisory Analyst - Wealth Compliance in Houston, TX vacancy
$110.7k - $218.3k
...Summary Financial Services Senior Consultant - Financial Risk... ...clients' regulatory and compliance needs, balancing risk and regulatory... ...Wholesale, Cards & Payments, Wealth/Investment Mgmt, Capital... ...key regulatory initiatives and supervisory ecosystem (e.g., Dodd-Frank;...SeniorWork at officeVisa sponsorship- ...deliver measurable business value. The Senior Business Analyst is responsible for understanding... ..., operational efficiency, regulatory compliance, risk mitigation, customer impact, and... ...knowledge of server and PC hardware. Supervisory Responsibility This position has no direct...SeniorFull timePart timeWork at officeLocal areaNight shift
$112.5k - $147.5k
...encouraged and everyone is a stakeholder.What you’ll be responsible for: Circle is looking for an experienced Senior Analyst, IT Internal Controls & SOX Compliance to join the Internal Controls and Compliance team. Reporting to the Senior Manager, IT Internal Controls,...SeniorFlexible hours- ...transforming power from a bottleneck into a competitive advantage for the companies building the future. The Senior Internal Controls Analyst supports the ICFR Compliance function by assessing, documenting, testing, and enhancing the Company’s internal control environment,...SeniorWork experience placementLocal area
ON.energy
Houston, TX5 hours ago - ...Plains’ safety policies and procedures.Responsible for informing senior personnel of hazard identification and near misses.Responsible... ...history (background) and satisfactory reference checks.Compliance with the Company’s drug and alcohol policy including pre-employment...SeniorFull timeWork at officeLocal area
- Noble Corporation is seeking a Senior Analyst - Accounting Policy and Controls to support the development, maintenance, and governance of... ...framework. You will draft policy documentation, support SOX compliance, monitor control execution, and develop practical tools for business...Senior
- ...based in Houston, Texas, is seeking an Analyst for Interstate Regulatory Affairs to manage... ...filings, reporting, and regulatory compliance with FERC. The role collaborates with multiple... ...years of related regulatory experience; senior levels may require 5-8 years. #J-18808-...Senior
- Locke Solutions LLC in Houston, TX seeks a Senior AP Analyst to oversee full-cycle accounts payable, ensure accuracy and compliance, and drive process improvements. The role emphasizes owning outcomes, collaborating cross-functionally, and resolving vendor/invoice issues...Senior
- Mercer is seeking an experienced Senior Principal Lead Health Actuary Consultant to join our Actuarial and Financial Consulting teams... ...negotiations, plan design optimization, and client leadership. You will mentor analysts and present findings to clients. #J-18808-Ljbffr MercerSeniorWork at office
$55 - $60 per hour
DescriptionKforce has a client that is seeking a Senior OT Cybersecurity Risk Analyst in Houston, TX.Summary:In this role, you will partner closely with the business, infrastructure, and OT teams to understand how systems are used in the real world and how cybersecurity...Senior- ...exceptional client experience with a culture built on integrity and collaboration. The Senior Compliance leader will guide a broader compliance program across private funds and wealth advisory activities, offering practical, actionable regulatory guidance and escalation...SeniorWork at office
- Hightower Advisors is seeking a Senior Trust Officer to manage trust accounts and relationships... ...ensuring fiduciary integrity and legal compliance. You will interpret complex documents,... ...proven ability to navigate fast-paced wealth management settings while balancing...Senior
- ...application of Risk Management activities across projects executed by any direct report Risk Management personnel to ensure departmental compliance. Provide guidance, support and leadership to junior RM team members including feedback / PDR input / identification of...SeniorContract work
Worley Group, Inc
Houston, TX4 days ago - Energy Transfer in Houston, TX is seeking a Sr Analyst - Certificate to join the Interstate Regulatory Affairs Department. The role... ...engineering, legal, environmental, and business teams to ensure compliance and timely submissions. The ideal candidate has a bachelor's...Senior
- Nscale, a GPU cloud leader for AI, is hiring a Senior Accounts Payable Analyst - PTP based in Houston, TX. You will manage end-to-end AP activities... ...PTP team, you will guide complex AP matters, maintain compliance with internal policies and regulatory requirements, and...Senior
- POSITION OVERVIEWThe Senior/Lead Analyst, Market Risk, reports directly to the Manager, Market Risk, and is responsible for developing the... ...Management requirements, including daily risk reporting to ensure compliance with Risk Policies and Limits as well as providing risk...SeniorWork at officeWork from homeFlexible hoursWeekend work
- The City of Houston's Housing and Community Development Department seeks a Management Analyst IV to design and oversee automated workflows, ensure compliance, and improve reimbursement processing across federally funded programs. This role requires strong Microsoft 365...Senior
- ...verify assessment, tax bill, and deadline information Monitor compliance and filing requirements with staff and management Receive,... ...print tax returns and identify account setup issues Support Lead Analysts and management with database maintenance and tracking...SeniorWork at officeVisa sponsorship
- SUMMARY Focuses on direct engagement and relationship management with Enterprise third parties to ensure compliance across Legal, IT, and Risk teams. This role is located in the Legal department and will focus on Enterprise tools, contracts, and account relationships through...SeniorWork at officeLocal area
- BDO USA in Houston, TX seeks a Senior Associate - Resilience to support advisory services helping clients anticipate, withstand, respond to, and recover from operational and strategic risks. This role blends insurance risk advisory with enterprise resilience, including...Senior
- Rsm Us Llp. is seeking a Senior Associate for Risk and Controls Solutions in the Health Care Industry in Houston. This role involves managing client relationships, conducting risk assessments, and providing internal audit support, fostering an environment that encourages...Senior
$87.7k - $100.1k
Capital One is seeking a Senior Associate, Risk Manager in Houston, TX to lead strategic risk solutions at a top 10 bank. You will serve... ...advisor, manage key executive relationships, and ensure compliance with regulatory expectations. The position requires a Bachelor’...Senior$101.1k - $115.4k
## Senior Business Analyst- PULSE - Global Payment NetworkApplylocations: Houston, TX: McLean, VA: Riverwoods, ILtime type: Full timeposted... ...including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital...SeniorFull timeTemporary workPart timeLocal areaCapital One Group
Houston, TX4 days ago- Alpha Generation is seeking a Sr. Analyst, Risk in Houston, Texas, to provide critical analysis of risk exposures associated with portfolio... ...Value-at-Risk, collaborating with different teams to ensure compliance with hedge plans, and presenting complex data to executive...Senior
- ...accounting operations. You will build and maintain ownership decks across multiple wells to ensure timely, accurate royalty payments and compliance. The ideal candidate has 5+ years in upstream oil & gas with expertise in DOI calculations, title interpretation, and proficiency...Senior
$116.2k - $229.1k
Position Summary Dayforce Integration Data Management - Senior ConsultantOur Human Capital practice is at the forefront of transforming... ...scriptingExperience with data privacy, security, or compliance practices in enterprise technology environmentsAbility to travel...SeniorLocal areaVisa sponsorship- Great American Loss Control is seeking a Senior Loss Control Consultant to lead risk assessments on large construction OCIP/CCIP projects and provide expert loss prevention guidance. You will analyze loss data, identify root causes, and deliver strategic recommendations...Senior
- RSM US LLP is seeking a Senior Associate in the Risk and Controls Practice in Houston, Texas. This role focuses on supporting clients' risk management, internal controls, and regulatory compliance across various industries. The ideal candidate will have a Bachelor’s or...Senior
- A leading finance firm in Houston is seeking a Mid-Senior level professional for a Contract role focusing on P&L reporting and risk analysis... ...collaborate across functions to ensure accurate reporting and compliance with governance standards. Strong technical skills in Excel and...SeniorContract work
$100k - $145k
Arcadis is looking for a part-time Construction Monitoring / Due Diligence Consultant in Houston, Texas. In this role, you will lead technical due diligence reports and assess project risks for international lenders and investors. The position requires a degree in a related...SeniorPart time
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Supervisory Analyst - Wealth Compliance. Be the first to apply!
Related searches