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Sr Manager, DOL and Retirement - Compliance
TD Ameritrade - 282 reviews - Fort Worth, TX
Interface with Compliance and business partners on ERISA and DOL requirements. Review operations from a compliance perspective and document gaps in procedures...
Director External Reporting
Previous SEC reporting experience. Takes lead on SEC filings, collaborating with management and legal counsel. Enforces adherence to all regulatory requirements...
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Manager of Financial Reporting
Citizens, Inc. - Austin, TX
Knowledge of current SEC rules and regulations. 5 or more years of experience with SEC filings; The Manager of Financial Reporting will partner with teams...
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AML Compliance Advisor Manager – Broker-Dealer AML Advisory

Capital One - 3,911 reviews - Plano, TX
Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations, including FINRA and SEC rules;...

Manager of Audit and Compliance

Match - 128 reviews - Dallas, TX
Manager of Audit and Compliance. Assist with Sarbanes-Oxley compliance and related corporate governance initiatives....

Compliance Associate

Crow Holdings - Dallas, TX
Crow Holdings Capital Partners, L.L.C., seeks a qualified compliance associate to assist with regulatory compliance oversight of various private funds (e.g.,...

Compliance Manager

The Bank of San Antonio - Castle Hills, TX
Functional knowledge of SEC regulations and compliance requirements desired. Reviewing and revising, as necessary, all bank, insurance and RIA compliance...

VP, Registration and Licensing

Fidelity Investments - 1,946 reviews - Westlake, TX
Fidelity Compliance is looking for a proven compliance professional with team management experience that can bring strategic vision and process management...
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Office Manager (Wealth Mgmt)

LPL Financial - 224 reviews - Dallas, TX
Additionally, the Office Manager assists in creating reports, compliance oversight, follow-up communication with clients, and departmental research in...

Financial Reporting Manager

Cyberonics - 21 reviews - Houston, TX 77058 (Pasadena area)
The Financial Reporting Manager will ensure compliance with GAAP, SEC, LSE and IFRS requirements as well as implement and maintain financial reporting...

Internal Audit & Financial Advisory Manager (Dallas, TX)

Protiviti - 53 reviews - Dallas, TX 75240 (Far North area)
And reviewing SEC filings including 10-K, Form 10-Q, Form 8-K, Proxy Filings, and Comfort Letters to ensure compliance with SEC regulations....

National Assurance Senior Manager

BDO USA, LLP - 659 reviews - Dallas, TX
GAAP, as well as certain SEC rules and regulations. GAAP, other professional standards and firm policies to the firm through technical consultations, Assurance...

Sr Manager, DOL and Retirement - Compliance

TD Ameritrade - 282 reviews - Fort Worth, TX
Interface with Compliance and business partners on ERISA and DOL requirements. Review operations from a compliance perspective and document gaps in procedures...
Business Operations Manager
Manages compliance orientation training as required. Provides maintenance and accuracy of compliance records, including SEC mandated books and disciplinary...
Compliance Associate
Crow Holdings - Dallas, TX
Crow Holdings Capital Partners, L.L.C., seeks a qualified compliance associate to assist with regulatory compliance oversight of various private funds (e.g.,...

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