Compliance Examiner jobs in Mesquite, TX

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Compliance Examiner - Member Regulation, Sales Practice - Da...
Finra 25 reviews - Dallas, TX
And supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements....
Sponsored by Finra - 20 days ago
EPS- Compliance / Risk Management, Supervisor
Jack Henry 59 reviews - Allen, TX
May assist in preparing for examiner and auditor on-site visits. Analyzes customer level compliance with various rules, regulations, and best practices....
Sponsored by Jack Henry - 25 days ago

Safety and Soundness Regional Examiner

Federal Reserve Bank of Dallas 258 reviews - Dallas, TX
Examiner commission, preferred. Safety and Soundness Regional Examiner. May provide specialized training and expertise to other examiners....

Consulting - Financial Examiner - Regulatory Insurance

McGladrey 27 reviews - Dallas, TX
Recommend/document actions to ensure compliance with laws and regulations, or to protect solvency of the company....

Risk and Control Assessment Program Lead

Citi 2,470 reviews - Irving, TX
Compliance and Control. As part of the In-Business Operational Risk Management (IBORM) department within Citi’s U.S....

Sr. Compliance Analyst

Santander Consumer USA 142 reviews - Dallas, TX
The Compliance Examiner IV will work both independently and also in conjunction with other Compliance Examiners and management....

State Compliance Analyst IV

Santander Consumer USA 142 reviews - Dallas, TX
The State Compliance Examiner will work both independently and also in conjunction with other members of consumer compliance and business management....

Senior Compliance Specialist

Nationstar Mortgage 297 reviews - Irving, TX
Knowledge in all areas of compliance, with careful attention to detail. Verifies through a combination of QC, IA, First Line of Defense, and Compliance,...

Principal AML Sr. Investigator

Capital One 1,953 reviews - Plano, TX
ACAMS (Association of Certified Anti-Money Laundering Specialists) certification, or CFE (Certified Fraud Examiner) certification, or CRCM (Certified Regulatory...

Senior Compliance Officer AML FIU Manager (Client On Boardin...

Citi 2,470 reviews - Irving, TX
Compliance and Control. Interface directly with regulatory examiners, Internal Audit and Compliance Testing to discuss/evaluate observations, issues, process...

Examination Analyst

Nationstar Mortgage 297 reviews - Dallas, TX
Mortgage compliance (CFPB, OCC, NMS, etc.). Minimum of 3 years experience in financial/mortgage industry with an emphasis in financial institution compliance or...

Financial Advisory Services Associate Dallas

AlixPartners 4 reviews - Dallas, TX
Analyzing financial transactions for compliance with GAAP or IFRS. Evaluating compliance with rules and regulations of the FCPA, Sarbanes-Oxley, and the federal...
Compliance Examiner - Member Regulation, Sales Practice - Da...
Financial Industry Regulatory Authority (FINRA) 8 reviews - Dallas, TX
FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Dallas, TX . And supervisory and compliance policies, procedures, internal...
Sponsored by diversityjobs.com - 16 days ago
Senior Compliance Officer AML FIU Manager (Client On Boardin...
Citi 2,470 reviews - Irving, TX
Compliance and Control. Interface directly with regulatory examiners, Internal Audit and Compliance Testing to discuss/evaluate observations, issues, process...
Sponsored by Citi - 4 days ago
Regulatory Audit Exam Management Coordinator
Citi 2,470 reviews - Irving, TX
Compliance and Control. 8-10 years of experience in Operational Risk, Compliance, or Audit. As part of the In-Business Operational Risk Management (IBORM)...
Sponsored by Citi - 8 days ago

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Company with Compliance Examiner jobs
25 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.