- HUB International (Austin, TX)
- …Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures . This means assisting in ... investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible,...up of the firm's Code of Ethics and other policies and procedures designed to prevent violations… more
- Safran (Gainesville, TX)
- …as project manager ensuring development and implementation of Safran Group Export Compliance /Anti-Corruption related policies and procedures . Interfaces with ... Export Compliance Officer and Compliance ...Safran Seat USA's compliance with relevant Export Compliance /Anti-Corruption processes, procedures and requirements from Safran… more
- City National Bank (Dallas, TX)
- …laws and regulations and development of implementation strategies. * Maintain updates to compliance policies , procedures , and training for new or revised ... * COMPLIANCE OFFICER -DEPOSITS* WHAT IS THE OPPORTUNITY?...accounts, as required. * Complies fully with all Bank Compliance policies and procedures as… more
- City National Bank (Dallas, TX)
- * COMPLIANCE OFFICER SENIOR-MORTGAGE ORIGINATION* WHAT IS...quality of records. * Comply fully with all Bank Compliance policies and procedures as ... THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing and...mitigate compliance risk. Maintaining regulatory change management, policies and procedures , training, and advisory matters… more
- Insight Global (Dallas, TX)
- …potential gaps or deficiencies. *Assist in the development and implementation of compliance policies , procedures , and controls. *Lead training sessions ... Insight Global is seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in the fintech… more
- Texas Veterans Commission (Austin, TX)
- …corrective actions. * Provide technical assistance regarding grant and contract administration, policies , and procedures . * Prepare compliance reports for ... Financial Operations* **Organization:** **TEXAS VETERANS COMMISSION* **Title:** *TVC - Compliance Officer (Grant Specialist III)* **Location:** *Texas-Austin*… more
- MUFG (Irving, TX)
- …testing reviews on the Sales & Trading business units with focus on the Markets Compliance program. The Compliance Officer will work closely with ACT ... Investment Industry Regulatory Organization of Canada (IIROC) rules, and MUFG policies and procedures , including their extra-territorial application. Experience… more
- Sprinklr (TX)
- …experiences worldwide. **About** **the Role** Reporting to the General Counsel, the **Chief Compliance Officer (CCO)** will lead Sprinklr's global compliance ... ensure ethical and compliant innovation. + Oversee andmaintaina leanlibraryof policies , standards, procedures , and guidelines. + Deliverhigh quality… more
- Google (Austin, TX)
- …strategic development and continuous maintenance of sanctions operations policies , procedures , and workflows to ensure robust compliance with evolving global ... Sanctions Screening and Investigations Compliance Officer _corporate_fare_ Google _place_ Chicago, IL, USA; Austin, TX, USA; +2 more; +1 more **Mid** Experience… more
- MUFG (Irving, TX)
- …aspects of the program. + Manage, define and maintain program, process and procedures holistically. + Oversee regulatory compliance GRC projects for process or ... system enhancements following enterprise project policies and procedures . Provide system requirements for enhancements to regulatory compliance GRC… more