Compliance analyst Jobs in Arlington, TX

Last updated: 21 hours ago

Junior Compliance Analyst / Compliance Analyst

Resolute Investment ManagersIrving, TX, USA

Quick Apply

Resolute Investment Managers, Inc.Junior Compliance Analyst / Compliance Analyst.Resolute Investment Managers, Inc.The clients of Resolute and our affiliates include corporate defined benefit plans...Show moreLast updated: 30+ days ago

Compliance Assurance Analyst

NRG EnergyTexas, US

Essential Duties / Responsibilities.Create the scope and objective of an audit plan with leadership, gathering preliminary data and coordinating with cross-functional departments to set and track to ...Show moreLast updated: 30+ days ago

Analyst, Business Compliance- Remote

CVS HealthTexas, Work At Home, US

$40,600.00–$85,100.00 yearly

Remote

Full-time

Bring your heart to CVS Health.Every one of us at CVS Health shares a single, clear purpose : Bringing our heart to every moment of your health. This purpose guides our commitment to deliver enhanced...Show moreLast updated: 30+ days ago

Promoted

Compliance Specialist

Tricolor Auto Group, LLCIrving, TX, United States

Full-time

Do you excel in a fast-paced, professional environment? We’re searching for talented individuals to join our Compliance team—your next opportunity is here!. The Compliance Risk Specialist at Tricolo...Show moreLast updated: 9 days ago

Promoted

Compliance Counsel

Momentum Search PartnersAustin, Texas Metropolitan Area, United States

Full-time

Our client is seeking an attorney with compliance experience in the investment management industry.This new role is being created due to growth and will work closely with and report to the Senior D...Show moreLast updated: 2 days ago

Promoted
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COMPLIANCE SPECIALIST

TCI TransportationTX, United States

Full-time

We are seeking a highly organized and detail-oriented.This role involves managing and maintaining safety compliance across multiple departments, including drivers, mechanics, human resources, and r...Show moreLast updated: 21 hours ago

Compliance Analyst (Property & Casualty) - State National

Markel Service Inc.Bedford TX

Full-time

What part will you play? If you’re looking for a place where you can make a meaningful difference, you’ve found it.The work we do at Markel gives people the confidence to move forward and seize opp...Show moreLast updated: 3 days ago

Promoted

Compliance Analyst

VirtualVocationsArlington, Texas, United States

Full-time

A company is looking for a Compliance Analyst - National Remote.Key Responsibilities : Conduct regulatory compliance audits and monitor changes to laws and regulationsCommunicate compliance issues an...Show moreLast updated: 20 days ago

Privacy Compliance Analyst

Lennar HomesIrving, TX, United States

$30,000.00 yearly

Full-time

Lennar is one of the nation's leading homebuilders, dedicated to making an impact and creating an extraordinary experience for their Homeowners, Communities, and Associates by building quality home...Show moreLast updated: 2 days ago

Sr IT Security Compliance Analyst

Business Centric TechnologyTX, United States

$125,000.00 yearly

Quick Apply

BCT has teamed up with a Dallas industry leader who is seeking an experienced IT Security Compliance Specialist to lead and manage their IT compliance programs, ensuring adherence to regulations su...Show moreLast updated: 30+ days ago

Promoted
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COMPLIANCE SPECIALIST

VetJobsTX, United States

Full-time

The Compliance Specialist is a resource for all service lines, including palliative care and hospice services.The role is responsible for the clinical staff education program including learning nee...Show moreLast updated: 21 hours ago

Promoted

Compliance Specialist

Tricolor AutoIrving, TX, United States

Full-time

Do you excel in a fast-paced, professional environment? We're searching for talented individuals to join our Compliance team-your next opportunity is here!. The Compliance Risk Specialist at Tricolo...Show moreLast updated: 3 days ago

SENIOR RNG COMPLIANCE ANALYST

Waste ManagementTX, United States

Full-time

As an EEO / Affirmative Action Employer, all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, age, nat...Show moreLast updated: 1 day ago

Promoted

Insurance Compliance Associate

Sutton Frost Cary LLParlington, TX, United States

Full-time

Insurance Compliance Associate.Aid in the preparation of and performance of compliance examinations for Managing General Agents of several large insurance companies. Areas of compliance testing incl...Show moreLast updated: 3 days ago

Risk and Compliance Business Analyst

ITL USATexas, US

Job description Infosys is seeking a Risk and compliance Business Analyst in Financial services Domain.As a Consultant, you will apply your technical proficiency to help develop enhance and maintai...Show moreLast updated: 30+ days ago

Promoted

Compliance Officer

Horizon BankAustin, Texas Metropolitan Area, United States

Full-time

As the leader of our Compliance Team, the.Risk Management team, partnering with departments across the organization to uphold and enhance our Compliance program. The ideal candidate will bring.We ar...Show moreLast updated: 2 days ago

Analyst, CIP Compliance

Vistra Corporate Services CompanyIrving, Texas

Full-time

Demonstrate clear technical cybersecurity and program level familiarity with NERC CIP standards.Support and facilitates progress on all compliance related activities such as audits, self-certificat...Show moreLast updated: 30+ days ago

Promoted

Director Compliance

CHRISTUS HealthIrving, TX, United States

Full-time

DescriptionSummary : The Director Compliance is responsible for directing and implementing the CHRISTUS Health compliance program in the designated region / ministry. The Director, in collaboration with...Show moreLast updated: 2 days ago

Analyst, Compliance Analyst Program - Hybrid (Texas)

MUFGIrving, TX

Full-time

Do you want your voice heard and your actions to count?.Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world.Across the globe, we’re 12...Show moreLast updated: 30+ days ago

Promoted
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COMPLIANCE SPECIALIST III - LENDING COMPLIANCE OVERSIGHT

Simmons BankTX, United States

Full-time

It's fun to work in a company where people truly BELIEVE in what they're doing!.We're committed to bringing passion and customer focus to the business. The Compliance Specialist III works directly w...Show moreLast updated: 21 hours ago

Junior Compliance Analyst / Compliance Analyst

Resolute Investment ManagersIrving, TX, USA

30+ days ago

Job type

Quick Apply

Job description

Resolute Investment Managers, Inc.

Junior Compliance Analyst / Compliance Analyst

Resolute Investment Managers, Inc. ("Resolute") is a diversified, multi-affiliate asset management platform that partners with affiliated and independent investment managers. The clients of Resolute and our affiliates include corporate defined benefit plans, institutions and individual investors. We trace our history to 1986 when an affiliate, American Beacon Advisors, Inc. (formerly AMR Investment Services, Inc.), began providing investment management services as an independently operated entity. Since 1987, American Beacon Advisors has managed the American Beacon Funds family of mutual funds. Over the years, American Beacon has built a reputation for innovative thinking, discipline and prudent investing, which has led to several prestigious awards for its pension management, cash management and mutual fund investment services. Today, Resolute is a privately held organization owned by a consortium of investment funds affiliated with leading financial institutions. In December 2024, Resolute Investment Managers was named one of the Best Places to Work in Money Management by Pensions & Investments for the sixth consecutive year. Learn more about our company by visiting

Our office is located in Las Colinas, Texas. This position will have the following consideration :

Hybrid : In office, currently Monday-Tuesday-Wednesday each week, with the option to work from home on Thursday and Friday.

Job Description :

Under the supervision of senior compliance personnel, the Compliance Analyst monitors activities for American Beacon Advisors and the American Beacon Funds family of mutual funds to ensure compliance with applicable regulatory requirements of the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, U.S. Commodity Futures Trading Commission, and other applicable regulatory agencies.

Primary Duties

Monitor client investment portfolios for compliance with regulatory requirements and portfolio guidelines
Implement investment adviser oversight activities, including review of due diligence questionnaires
Maintain investment adviser questionnaires in the firm's due diligence system
Review fund regulatory filings for accuracy and consistency with regulatory requirements

Additional Duties

Participate in site visits of investment advisers for due diligence purposes, including some travel

Perform special projects, such as compliance analyses of new investment products and regulations

Assist senior compliance personnel in developing controls and procedures to ensure compliance with applicable regulatory requirements

Requirements

Bachelor's degree

Excellent organizational skills and attention to detail

Ability to analyze significant amounts of data

Compliance Analyst level requires at least two years of compliance-related experience at a broker-dealer, investment adviser or regulatory agency

Preferred Qualifications

Junior Compliance Analyst level prefers at least two years of experience at a broker-dealer, investment adviser or regulatory agency

Working knowledge of the Investment Advisers Act of 1940 and / or Investment Company Act of 1940

Proficiency in Microsoft Excel

LI-Hybrid

Job Posted by ApplicantPro