Senior Compliance Analyst (Regulatory Requests)
Apex Fintech Solutions - Dallas, TX
of experience in the compliance functions of a broker-dealer. Correspondent Clearing experience strongly preferred FINRA Series 7... required; Series 24 preferred (or willingness to obtain the Series 24) Experience with FINRA rules applicable to marketing and client...
September 28
Senior Compliance Analyst (Lending/Funding Operations)
Apex Fintech Solutions - Dallas, TX
years of experience in compliance roles within the relevant industry FINRA Series 7 or 99 required with willingness... to obtain Series 24 In depth knowledge of applicable SEC and FINRA rules associated with margin, stock loan, banking functions...
September 28
Compliance Officer (Regulatory)
Apex Fintech Solutions - Dallas, TX
to exam management, regulatory change management, and risk corrective action plans FINRA Series 7 license require... and willingness to obtain a Series 24 Proven track record of successfully managing comprehensive compliance programs Previous...
September 26
Senior Compliance Analyst (Sales Practice)
Apex Fintech Solutions - Dallas, TX
Series 7 required, and a willingness to obtain a Series 24 Experience: Minimum of 5 years in compliance roles... Administration, or related field Advanced Degree in Law, Compliance, or Business (e.g., JD, MBA) is preferred Licensing, FINRA...
September 26
Risk & Compliance Officer, Broker-Dealer Investment Banking
Texas Capital Bank - Dallas, TX
. Series 7, 63, 9/10, 50, 52, 54, 53, 24 and/or JD a plus. The duties listed above are the essential functions... Compliance Officer for TCBI Securities, Inc., assists in the design, development, delivery and maintenance of the compliance...
August 31