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Principal Investigator, NCP - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
Dallas, TX
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FINRA’s National Cause Program (NCP) is charged with the investigation of ...
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About the job:
cause matters involving potential fraud or other serious misconduct from various sources, including regulatory filings, investor complaints, tips, referrals, and other regulatory sources. The Principal Investigator, NCP, is responsible for (1) conducting extensive background searches of FINRA member firms and registered representatives in support of open FINRA investigations in the NCP; (2) providing subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

SR FRAUD ANALYST II

Bank of America Corporation
Dallas, TX
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Job Description: At Bank of America, we are guided by a common purpose to ...
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About the job:
help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We’re devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Detect & Invest Associate - Commercial Fraud -12:00pm - 8:30pm

Pnc
Dallas, TX
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Back to search results Previous job Next job JOB DESCRIPTION Position ...
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Overview At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company’s success. As a D&I Associate within PNC’s Technology organization, you may be based in a remote location. This is a remote position. Work may be performed from a quiet,...
Location:
Dallas, TX
Job Type:
Part-Time
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Upper Middle Income Jobs ($50K-$79K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Principal Investigator, Specialist Team - Any Finra Location

Financial Industry Regulatory Authority, Inc.
Dallas, TX
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The Principal Investigator, Specialist Teams, conducts high complexity ...
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About the job:
routine and special investigations of FINRA member firms; investigates potentially suspicious activities of persons associated with FINRA member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles the industry and identifies fraudulent conduct occurring at, by, or through FINRA member firms or registered representatives. This is an expert level, professional position that requires an expanded skillset, limited guidance and minimal supervision, and...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Supervisor, Record Keeping & Regulatory Compliance (BSA/AML)

GTL and Telmate
Dallas, TX
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ViaPath is currently seeking a Supervisor, Record Keeping & Regulatory ...
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About the job:
Compliance (BSA/AML) to join our team in Dallas, TX. Serving as a key member of the Bank Secrecy Act/Anti-Money Laundering Compliance team and under the direct supervision of the BSA/AML Compliance Officer, the selected candidate will provide leadership and guidance in the day-to-day functions within the department. The Supervisor will be the primary training resource for new team members as well as provide ongoing training on daily responsibilities. This position will assist with the monitoring and reporting related to...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
Nationwide Mortgage Licensing System
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Supervisor, Record Keeping & Regulatory Compliance (BSA/AML)

Viapath
Dallas, TX
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Overview ViaPath is currently seeking a Supervisor, Record Keeping & ...
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Summary
About the job:
Regulatory Compliance (BSA/AML) to join our team in Dallas, TX. Serving as a key member of the Bank Secrecy Act/Anti-Money Laundering Compliance team and under the direct supervision of the BSA/AML Compliance Officer, the selected candidate will provide leadership and guidance in the day-to-day functions within the department. The Supervisor will be the primary training resource for new team members as well as provide ongoing training on daily responsibilities. This position will assist with the monitoring and reporting...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
Nationwide Mortgage Licensing System
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Seniors Housing (Originations) Real Estate Analyst

Pnc
Dallas, TX
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Back to search results Previous job Next job JOB DESCRIPTION Position ...
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Summary
About the job:
Overview At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company’s success. As a Seniors Housing (Originations) Real Estate Analyst within PNC's Agency Finance organization, you will be based in Cincinnati, OH, Pittsburgh, PA, or Dallas, TX....
Location:
Dallas, TX
Job Type:
Part-Time
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
5
apply
Detailed Job Information

Regulatory Research and Client Response Compliance Analyst

Cetera Financial Group
Dallas, TX
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External Description Str : At Cetera we need detailed thinkers to help us ...
Details
Summary
About the job:
deliver quality and value to our clients. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data. You collect, organize, and interpret information with ease and understand the impact your insights have on our business. Cetera Financial Group is currently seeking a Compliance Analyst focused on Regulatory and Client Response. This is a unique opportunity to support the network of Cetera Financial Group broker/dealers and registered investment advisers with regulatory and...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Upper Middle Income Jobs ($50K-$79K)
Certifications / Licenses:
Financial Industry Regulatory Authority
FINRA Series 24
FINRA Series 7
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Examinations- Variable Annuities-Member Supervision - Any Finra Location

Financial Industry Regulatory Authority, Inc.
Dallas, TX
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Mission-driven, Mission-delivered. FINRA aims to make an impact. Apply now ...
Details
Summary
About the job:
for an exciting opportunity to join our Firm Examinations Team, focusing on Financial and Operational risks. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms. Our Examinations Program is a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of our member firms. We take a risk-based approach to our oversight, with the goal of detecting, deterring, or addressing activities...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Compliance Analyst - Branch Exams

Cetera Financial Group
Dallas, TX
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External Description Str : At Cetera we need detailed thinkers to help us ...
Details
Summary
About the job:
deliver quality and value to our clients. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data. You collect, organize, and interpret information with ease and understand the impact your insights have on our business. We are currently seeking. The Senior Examiner conduct audits of branch offices to determine compliance with FINRA, SEC and State regulatory requirements, as well as firm policies and procedures. The Senior Examiner is pivotal to creating a partnership between...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
FINRA Series 7
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information
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Location: Dallas
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Occupation: Financial Examiners
Industry: Management of Companies and Enterprises
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