Cco Jobs in Texas

Compliance & Legal Analyst Review of Fund and Adviser advertising for compliance with the Securities Act of 1933, the 1940 Act, and the Advisers Act, and SEC rules thereunder, and Financial ..

Director, Compliance Program Office The candidate will be responsible for developing and maintaining comprehensive rules to controls identification and assessment framework (controls framework) for Member Supervision in coordination with the Office ..

Posted: 27-Feb-22 Location: Austin, Texas Salary: Open Categories: Executive Internal Number: 428312 Central Texas Rehabilitation Hospital is proud to be recognized by Newsweek as one of America's Best Rehabilitation Hospitals in ..

Senior Compliance Manager, Mutual Funds The candidate will be conducting desk-based compliance and ODD reviews of prospective and current sub-advisers to mitigate compliance, reputational and operational risk. Performing desk-based compliance and ..

Manager, Swap Dealer Advisor Responsibilities: Assisting the SD CCO in administering a Swap Dealer Compliance program. Advising Sales and Trading and related Operations teams on CFTC swap regulations and Designated Contract ..

Manager, Swap Dealer Advisor Responsibilities: Assisting the SD CCO in administering a Swap Dealer Compliance program. Advising Sales and Trading and related Operations teams on CFTC swap regulations and Designated Contract ..

... support the Chief Compliance Officer (CCO) for Shell Trading Risk Management ... meetings, on behalf of the CCO. Frequent direct interactions with Regulators ... certain compliance-specific training. Assist the..