Senior Counsel Ethic Compliance Director Jobs in Dallas

Associate Director of Regulatory Services Duties: Provide ... with regulated research to ensure compliance with federal, state, and local ... This position will assist the Director of Regulatory Services with..

Senior Vice President Chief Compliance Officer Duties: Creation and revision ... Duties: Creation and revision of compliance program policies under the direction ... the direction of the Chief Compliance Officer..

Director, Compliance Program Office The candidate will ... the Office of Ethics and Compliance, Chief Compliance Officer (CCO office). Serve as ... and maintenance of the new Compliance program required..

Managing Director, Compliance Consulting The candidate will participate ... and practice management. Interact with Senior Management of investment advisory clients ... advisory registration, mock examinations, ongoing compliance issues, and reporting...

Director, Ethics and Compliance The candidate will lead the ... candidate will lead the Global Compliance Center of Excellence team to ... technology solutions, and promote best compliance practices to..

Legal Counsel, Products And Services The candidate ... ensure production readiness, build scalable compliance strategies, and address customer requirements. ... will report to the Sr. Director, Products and Marketing (Legal)...

Senior Director, Compliance The candidate will lead the ... The candidate will lead the Compliance team which implements the firm ... team which implements the firm compliance programs, including Code..

Director, Legal & Assistant General Counsel The candidate will serve as ... North America. The Assistant General Counsel – TAA North America will ... will be supported by a Senior..