Compliance Manager Jobs in Lakeside, TX
Senior Manager, Compliance Trade Surveillance Senior Manager, Compliance Trade Surveillance
- Charles Schwab
- Westlake, TX (23 miles from Lakeside, TX)
- 2 days ago
- Westlake, TX (23 miles from Lakeside, TX)
- 2 days ago
particularly of trading in equities, equity options, fixed income, futures and futures derivatives and ability to perform trade surveillance on such asset classes Understanding of SEC, FINRA, CFTC, NFA, Anti-Money...
In PersonWater Quality Compliance Coordinator
- City of Roanoke
- Roanoke, TX (23 miles from Lakeside, TX)
- 2 days ago
- Roanoke, TX (23 miles from Lakeside, TX)
- 2 days ago
The City of Roanoke is excited to announce the opportunity for Water Quality Compliance Coordinator. We are pleased to offer competitive compensation & benefits, including, but not limited to:...
In PersonDAFgiving360, Non Profit Financial & Regulatory Manager
- Charles Schwab Corporation
- Westlake, TX (23 miles from Lakeside, TX)
- 3 days ago
- Westlake, TX (23 miles from Lakeside, TX)
- 3 days ago
Your Opportunity DAFgiving360 is an independent nonprofit organization created to increase charitable giving in the U.S. We offer a donor-advised fund program and related philanthropic tools and...
In PersonRetirement Plans ERISA Compliance, Manager
- Charles Schwab Corporation
- Westlake, TX (23 miles from Lakeside, TX)
- 6 days ago
- Westlake, TX (23 miles from Lakeside, TX)
- 6 days ago
Your Opportunity At Schwab, you're empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us challenge the status quo and transform the...
In PersonSenior Manager, Compliance Trade Surveillance
- Charles Schwab Corporation
- Westlake, TX (23 miles from Lakeside, TX)
- 6 days ago
- Westlake, TX (23 miles from Lakeside, TX)
- 6 days ago
particularly of trading in equities, equity options, fixed income, futures and futures derivatives and ability to perform trade surveillance on such asset classes Understanding of SEC, FINRA, CFTC, NFA, Anti-Money...
In PersonPrinc Trade Compliance Manager
- Elbit America
- Fort Worth, TX (12 miles from Lakeside, TX)
- 10 days ago
- Fort Worth, TX (12 miles from Lakeside, TX)
- 10 days ago
Job Summary: As a Princ Trade Compliance Manager this role serves as the organization’s expert on global import and export compliance, responsible for interpreting and applying complex international...
In PersonCompliance Director, Cash Management and Payments
- Fidelity Investments
- Westlake, TX (23 miles from Lakeside, TX)
- 30+ days ago
- Westlake, TX (23 miles from Lakeside, TX)
- 30+ days ago
Job Description: Compliance Director, Cash Management and Payments The Role The Compliance Director position is a role within the Wealth and Brokerage (W&B) Compliance team, responsible for...
In PersonSenior Manager, Compliance Advisor
- Fidelity Investments
- Westlake, TX (23 miles from Lakeside, TX)
- 30+ days ago
- Westlake, TX (23 miles from Lakeside, TX)
- 30+ days ago
Job Description: The Team Asset Management Compliance ('AMC') works closely with Fidelity's investment teams across all asset classes to ensure compliance with global regulations, investor...
In Person- First Command Financial Services, Inc.
- Fort Worth, TX (12 miles from Lakeside, TX)
- 90+ days ago
- Fort Worth, TX (12 miles from Lakeside, TX)
- 90+ days ago
How will this role impact First Command? Under the general supervision of Compliance leadership, the Compliance Operations Manager is a principal licensed role and is responsible for the execution...
HybridDemographic Data for Lakeside, TX
Moving to Lakeside, TX? Find some basic demographic data about Lakeside, TX below.
Compliance Manager Online Courses and Training Opportunities
Salary for Compliance Manager Jobs in Lakeside, TX
Required or preferred licenses and certifications for Compliance Manager positions.
Highest Education Level
Compliance Managers in Lakeside, TX offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Manager position
- Equity Research
- Mortgage Servicing
- Equities
- Environmental Regulations
- Know Your Customer
- Derivatives
- BSA
- OFAC
- Fixed Income
- Securities and Exchange Commission
- Capital Markets
- Environmental Compliance
- Internal Control
- Anti-Money Laundering
- Lending
- Mortgage Processing
- Fraud Investigation
- Financial Services
- Due Diligence
- Resolution
- Complaint Resolution
- Strategy Development
- Risk Management
- Written Communication
- Finance
- Auditing
- Collaboration
- Implementation
- Documentation
- Decision Making
- Verbal Communication
- Accounting
- Reporting
- Investigation
- Employee Development
- Policy Development
- Coaching
- Microsoft PowerPoint
- Bachelor's Degree
- Filing
- Regulations
- Research Skills
- Computer Skills
- Microsoft Office
- Staff Supervision
- Microsoft Excel
- Customer Service
- Problem Solving
- Scheduling
- Leadership
- Communication Skills
- Tila Respa Integrated Disclosures
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