Current jobs related to Director, Compliance - Dallas - Larson Maddox

  • Director of Compliance

    2 months ago

    Dallas, United States Dallas Capital Bank Full time

    Job DescriptionJob DescriptionAt Dallas Capital Bank, we are proud to bring a world-class banking experience that combines new technology with unceasing service to the Dallas metroplex, and the people who make it strong. We take pride in understanding our clients and the time to recognize their needs. Combining years of proficiency with a heart for service,...

  • Director of Controls

    2 months ago

    Dallas, United States Vaco Full time

    Director of Controls & ComplianceDallas, TX – Onsite/HybridOne of Vaco’s distribution clients is looking to onboard an Audit Director to assist with a company-wide initiative to streamline operational controls across all of their distribution centers.  They are looking for folks with proven experience building SOP’s, juggling multiple special projects...

  • Director of Regulatory Compliance and Privacy Officer

    3 days ago

    Dallas, Texas, United States Parkland Health and Hospital System Full time

    Job Title: Director of Regulatory Compliance and Privacy OfficerAre you a seasoned professional with a passion for regulatory compliance and privacy? Do you have a strong background in healthcare operations and compliance? We are seeking a highly skilled Director of Regulatory Compliance and Privacy Officer to join our team at Parkland Health and Hospital...

  • Director of Regulatory Compliance and Privacy Officer

    2 weeks ago

    Dallas, Texas, United States Parkland Health and Hospital System Full time

    Director of Regulatory Compliance and Privacy OfficerParkland Health and Hospital System is seeking a highly skilled and experienced Director of Regulatory Compliance and Privacy Officer to join our team. As a key member of our compliance department, you will be responsible for managing the effective implementation of our regulatory compliance and...

  • Director of Financial Reporting and Compliance

    3 weeks ago

    Dallas, Texas, United States VACO Full time

    Job Summary:Vaco is seeking a highly experienced Director of Financial Reporting to join our team in Dallas, TX. As a key member of our accounting and finance team, you will be responsible for leading the financial reporting function and building out a team of skilled professionals.Key Responsibilities:Lead the financial reporting function and ensure timely...

  • Director of Internal Audit and Compliance

    3 weeks ago

    Dallas, Texas, United States University of Texas Southwestern Medical Center Full time

    About the RoleThe University of Texas Southwestern Medical Center is seeking a highly skilled and experienced Director of Internal Audit and Compliance to join our team. As a key member of our leadership team, you will be responsible for providing strategic guidance and direction to the Internal Audit office, ensuring the effective implementation of audit...

  • Head of Compliance Operations

    4 weeks ago

    Dallas, Texas, United States Larson Maddox Full time

    We are collaborating with a reputable investment advisory firm, seeking to appoint a Compliance Director to enhance their compliance framework.Key Responsibilities of the Compliance Director:Oversee the compliance calendar and ensure timely submission of regulatory documentation.Evaluate and document compliance policies and procedures.Assess electronic...

  • Director of Alcohol Beverage Compliance and Licensing

    2 months ago

    Dallas, United States Misa Imports, Inc. Full time

    Job DescriptionJob DescriptionWho We Are:When you join MISA Imports, you join a team that is taking the wine and spirits industry to new heights. Sharing an entrepreneurial mindset as leaders, visionaries and subject matter experts in wine and supply chain. With a culture inspired by family values we work collaboratively to ensure our team members remain...

  • Director of Regulatory Compliance and Privacy Officer

    1 month ago

    Dallas, United States Parkland Health and Hospital System Full time

    Interested in a career with both meaning and growth? Whether your abilities are in direct patient care or one of the many other areas of healthcare administration and support, everyone at Parkland works together to fulfill our mission: the health and well-being of individuals and communities entrusted to our care. By joining Parkland, you become part of a...

  • Director of Regulatory Compliance and Privacy Officer

    2 months ago

    Dallas, United States Parkland Health and Hospital System Full time

    Interested in a career with both meaning and growth? Whether your abilities are in direct patient care or one of the many other areas of healthcare administration and support, everyone at Parkland works together to fulfill our mission: the health and well-being of individuals and communities entrusted to our care. By joining Parkland, you become part of a...

  • Senior Director of Compliance

    5 days ago

    Dallas, Texas, United States IMA Financial Group Full time

    Job SummaryWe are seeking a highly skilled and experienced Compliance Manager to join our team at IMA Financial Group. As a key member of our organization, you will be responsible for leading our Compliance team and ensuring that our business practices align with regulatory requirements.Key ResponsibilitiesDevelop and implement compliance policies and...

  • Compliance Manager

    3 days ago

    Dallas, Texas, United States Baylor Scott & White Health Full time

    Job SummaryBaylor Scott & White Health (BSWH) is committed to maintaining a robust compliance program. The Corporate Compliance Manager will work under the direction of the Compliance Vice President and/or Director to oversee ongoing activities related to the development, implementation, maintenance of, and adherence to BSWH policies and procedures in...

  • Compliance Manager

    5 days ago

    Dallas, Texas, United States Baylor Scott & White Health Full time

    Job SummaryBaylor Scott & White Health (BSWH) is committed to maintaining an effective compliance program. The Corporate Compliance Manager will work under the direction of the Compliance Vice President and/or Director to oversee ongoing activities related to the development, implementation, maintenance of, and adherence to BSWH policies and procedures in...

  • Compliance Director

    3 weeks ago

    Dallas, Texas, United States ACC - Association of Corporate Counsel Full time

    Job Summary:The Chief Compliance Officer will be responsible for designing, developing, and assessing the implementation of ACC's corporate compliance program; providing leadership and direction for compliance policies, procedures, and personnel; and promoting and supporting ACC's culture of compliance.The CCO will set corporate compliance strategy in close...

  • Compliance Analyst

    3 days ago

    dallas, United States BBAM Full time

    BBAM is a leading player in commercial aircraft leasing, financing and management providing over 200 airline customers in more than 50 countries with fleet and financing solutions over its 30+ year history. In addition, BBAM provides asset management services to leasing companies, aviation investors and financial institutions covering more than 500 aircraft...

  • Compliance Analyst

    3 days ago

    Dallas, United States BBAM Full time

    BBAM is a leading player in commercial aircraft leasing, financing and management providing over 200 airline customers in more than 50 countries with fleet and financing solutions over its 30+ year history. In addition, BBAM provides asset management services to leasing companies, aviation investors and financial institutions covering more than 500 aircraft...

  • Compliance Analyst

    3 days ago

    Dallas, United States BBAM Full time

    BBAM is a leading player in commercial aircraft leasing, financing and management providing over 200 airline customers in more than 50 countries with fleet and financing solutions over its 30+ year history. In addition, BBAM provides asset management services to leasing companies, aviation investors and financial institutions covering more than 500 aircraft...

  • CRA Compliance Officer

    7 days ago

    Dallas, Texas, United States American National Bank of Texas Full time

    Job SummaryThe CRA Officer is a critical role within American National Bank of Texas, responsible for ensuring the bank's compliance with the Community Reinvestment Act (CRA). This position requires a strong understanding of banking regulations and a ability to develop and implement effective CRA programs.Key ResponsibilitiesDevelop and implement CRA...

  • Compliance and Privacy Officer

    3 weeks ago

    Dallas, Texas, United States Parkland Health and Hospital System Full time

    Job SummaryParkland Health and Hospital System is seeking a highly skilled and experienced Director of Regulatory Compliance and Privacy Officer to join our team. This is a critical role that requires a strong understanding of regulatory compliance and privacy laws, as well as excellent leadership and communication skills.Key ResponsibilitiesDevelop and...

  • Senior Compliance Analyst

    4 weeks ago

    Dallas, Texas, United States Leeward Renewable Energy, LLC Full time

    Position Overview:Leeward Renewable Energy, LLC is a prominent player in the renewable energy sector, committed to sustainable practices and innovation. The organization is currently seeking a Senior Regulatory Associate to assist the Director of Regulatory Compliance. This role is crucial in maintaining adherence to industry regulations and standards.Key...

Director, Compliance

3 months ago

Dallas, United States Larson Maddox Full time

We are currently partnered with a SEC-registered investment adviser specializing in event-driven, long/short equity strategies based in Dallas, Texas looking to add a Compliance Director to their team.


Compliance Director Role Responsibilities:

  • Manage compliance calendar and regulatory reports (e.g., Section 13 filings, Form ADV, Form PF).
  • Test and document compliance policies and procedures.
  • Monitor electronic communications for compliance risks.
  • Maintain Restricted List and conduct trade surveillance.
  • Review marketing materials for proper disclosures.
  • Administer Code of Ethics and monitor compliance reporting and pre-clearance requests.
  • Update policies, procedures, and training materials.
  • Draft compliance communications and assist with training.
  • Collaborate with senior management on compliance projects.


Compliance Director Associate Qualifications:

  • Bachelor’s degree required.
  • 5 + years of compliance experience, preferably with an RIA or compliance consulting firm.
  • Knowledge of the Investment Advisers Act of 1940 and relevant regulations.
  • Strong written and verbal communication skills, attention to detail, and organizational skills.


Location and Compensation:

  • Based in Dallas, Texas.
  • Competitive salary (based on experience) and annual bonus.
  • Employer-paid healthcare, 401(k) matching, and gym membership.