Current jobs related to Senior Compliance Officer - Dallas, Texas - Western Alliance Bank

  • Senior IT Compliance Officer

    4 weeks ago

    Dallas, Texas, United States NextStep Recruiting Full time

    Senior IT Auditor Job DescriptionNextStep Recruiting is seeking a highly skilled Senior IT Auditor to join our team. As a key member of our audit team, you will be responsible for overseeing and conducting periodic evaluations of compliance with Sarbanes-Oxley and other corporate activities.Key Responsibilities:Perform audits in assigned areas to ensure the...

  • Senior Compliance Officer

    2 weeks ago

    Dallas, Texas, United States Prospera Financial Full time

    Job Summary:The Supervisory Principal is responsible for ensuring compliance with state and federal regulations and rules set forth by regulatory agencies. This role involves supervising the suitability of securities transactions and performing principal review functions for assigned representatives.Key Responsibilities:Principal review of registered...

  • CRA Compliance Officer

    4 weeks ago

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

    Job SummaryThe CRA Officer is responsible for developing, implementing, and administering the Bank's Community Reinvestment Act Compliance Program. This includes maintaining compliance with laws and regulations affecting the Bank's operations and collaborating with legal and regulatory colleagues on efforts to influence lawmakers and regulators.Key...

  • Senior Compliance Analyst

    3 weeks ago

    Dallas, Texas, United States Apex Fintech Services LLC Full time

    About This RoleThe Senior Compliance Analyst (Regulatory Requests) plays a key role within our Compliance Program at Apex Fintech Services LLC. This position requires interacting with both regulators (FINRA, SEC, etc.) and key business stakeholders to document, track and submit documentation and data in a timely manner.Key Responsibilities:Provide general...

  • SBE Compliance Officer

    4 weeks ago

    Dallas, Texas, United States Dallas County Full time

    Job Title: SBE Compliance OfficerJob Summary:The SBE Compliance Officer will be responsible for ensuring compliance with the Small Business Enterprise (SBE) contract data collection system, reporting system(s), and records. This includes SBE/HUB/DBE utilization, prime contractor adherence to SBE participation, and conducting complex statistical analysis,...

  • SBE Compliance Officer

    4 weeks ago

    Dallas, Texas, United States Dallas County Full time

    Job Title: SBE Compliance OfficerJob Summary:The SBE Compliance Officer will be responsible for ensuring compliance with the Small Business Enterprise (SBE) program requirements for Dallas County. This includes developing, overseeing, and maintaining the SBE contract data collection system, reporting system(s), and records. The successful candidate will also...

  • Senior Compliance Manager

    3 weeks ago

    Dallas, Texas, United States Invesco Full time

    About the RoleWe are seeking a highly skilled Senior Compliance Manager to join our team at Invesco. As a key member of our compliance team, you will be responsible for ensuring that our real estate business operates in compliance with all relevant laws, regulations, and policies.Key ResponsibilitiesDesign, implement, and monitor processes, policies, and...

  • Senior Environmental Compliance Manager

    2 weeks ago

    Dallas, Texas, United States HF Sinclair Corporation Full time

    Job DescriptionHF Sinclair Corporation is seeking an experienced Senior Environmental Compliance Manager to oversee and direct all aspects of the environmental department. This role requires a strong understanding of environmental regulations and laws, as well as excellent leadership and communication skills.Key ResponsibilitiesEnsure compliance with local,...

  • Senior Compliance Manager

    3 weeks ago

    Dallas, Texas, United States KPMG Full time

    Job Title: Senior Compliance ManagerAt KPMG, we are seeking a highly skilled Senior Compliance Manager to join our team. As a key member of our Consumer Compliance practice, you will be responsible for assisting clients in addressing enterprise-wide compliance with consumer protection regulations, safety and soundness, and other guidance issued by federal...

  • SBE Compliance Officer

    4 weeks ago

    Dallas, Texas, United States Dallas County Full time

    Job Title: SBE Compliance OfficerJob Summary:The SBE Compliance Officer will be responsible for ensuring compliance with the Small Business Enterprise (SBE) contract data collection system, reporting system(s), and records. This includes SBE/HUB/DBE utilization, prime contractor adherence to SBE participation, and conducting complex statistical analysis and...

  • Administrative Assistant/Compliance Specialist

    4 weeks ago

    Dallas, Texas, United States Always Best Care Senior Service Full time

    Job SummaryAlways Best Care Senior Service is seeking a highly organized and detail-oriented Administrative Assistant/Compliance Specialist to join our team. The successful candidate will provide administrative support to our Operations Manager and Owner, ensuring the smooth day-to-day operations of our business.Key ResponsibilitiesProvide administrative...

  • Chief Clinical Officer

    3 weeks ago

    Dallas, Texas, United States Mcare Agency LLC Full time

    About the JobRMCare Agency LLC is seeking a highly experienced Chief Clinical Officer to lead our quality management and compliance initiatives across multiple states. As a senior clinical leader, you will be responsible for developing and implementing quality assurance and performance improvement strategies to ensure the highest standards of care are...

  • Senior Compliance Manager

    3 weeks ago

    Dallas, Texas, United States KPMG Full time

    Job SummaryAs a Manager in Consumer Compliance at KPMG, you will play a critical role in helping our clients navigate the complex landscape of consumer protection regulations. With a strong background in financial services regulatory compliance, you will assist clients in addressing enterprise-wide compliance with consumer protection regulations, safety and...

  • Senior Program Compliance Specialist

    4 weeks ago

    Dallas, Texas, United States Dallas County Full time

    Job Title: Senior Program MonitorAs a Senior Program Monitor with Dallas County, you will play a critical role in ensuring the fiscal activities of Ryan White and HOPWA sub-recipients/service providers are in compliance with grantor funding regulations.Key Responsibilities:Conduct sub-recipient financial and contractual compliance site visits, reviewing work...

  • Senior IT Security Compliance Specialist

    4 weeks ago

    Dallas, Texas, United States Technology Recruiting Solutions Inc Full time

    Job SummaryWe are seeking a highly skilled Senior IT Security Compliance Specialist to join our team at Technology Recruiting Solutions Inc. The ideal candidate will have a strong background in IT security governance and risk management, with experience in developing and implementing compliance reviews and audits.Key Responsibilities:Develop and administer...

  • Compliance Officer

    4 weeks ago

    Dallas, Texas, United States Apex Fintech Solutions Full time

    We are seeking a highly skilled Senior Compliance Analyst to join our dynamic team at Apex Fintech Solutions. The ideal candidate will play a critical role in overseeing compliance across various facets of our business operations, including new ventures, client onboarding, and internal advisory services.This position requires a proactive approach to ensuring...

  • Senior Compliance Manager

    3 weeks ago

    Dallas, Texas, United States Invesco Full time

    Job DescriptionThe Senior Compliance Manager will play a critical role in supporting Invesco Real Estate's direct real estate business, managing nearly $50 billion of direct real estate in the U.S. This position requires a strong understanding of federal securities laws and regulations, as well as experience with real estate and private alternatives...

  • Compliance Associate

    2 months ago

    Dallas, Texas, United States IQ-EQ Full time

    Job Title: Senior Associate- ComplianceIQ-EQ is a leading Investor Services group that combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices, and private clients operating worldwide.Job SummaryThis position requires strong concern for quality and accuracy of work with a...

  • Director of Regulatory Compliance and Privacy Officer

    3 weeks ago

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

    Job Title: Director of Regulatory Compliance and Privacy OfficerParkland Health and Hospital System (PHHS) 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...

  • Senior Legal Officer

    3 weeks ago

    Dallas, Texas, United States Northern Trust Full time

    Northern Trust is a leading financial institution with a rich history of providing innovative financial services and guidance to successful individuals, families, and institutions.We are seeking a highly skilled and experienced professional to join our team as a Senior Legal Officer.The successful candidate will be responsible for managing a portfolio of...

Senior Compliance Officer

2 months ago

Dallas, Texas, United States Western Alliance Bank Full time
Job Title:

Senior Compliance Officer - Advisory and Guidance

Location:

CityScape

Job Summary:

The Senior Compliance Officer serves as a key subject matter expert in ensuring lines of business compliance with applicable regulatory requirements. This role provides second-line independent oversight and guidance regarding business products, services, and processes to ensure Western Alliance Bank complies with applicable laws, rules, and regulations.

Responsibilities:
  • Provide subject matter expertise and guidance on state and federal compliance laws and regulations to strengthen processes, procedures, and controls for the lines of business.
  • Stay current with industry best practices and guidance relating to regulatory compliance.
  • Partner with the lines of business to understand compliance impacts on changes to product offerings and business changes.
  • Actively participate in Compliance Department meetings by providing topics for discussion and reporting on areas of weakness identified through the monitoring and testing program or other compliance concerns that may periodically arise.
  • Ensure internal records used to track issues and action plans are kept up-to-date.
  • Track remediation of identified issues to ensure timely implementation by the line of business.
  • Maintain proactive and effective relationships with First Line of Defense stakeholders in order to gain insight into compliance risks associated with line of business activities, objectives, practices, processes, and overall control environment.
Qualifications:
  • Bachelor's Degree or 3+ years of compliance, risk, or auditing experience is required.
  • Strong understanding of applicable federal, state banking laws and regulations with the ability to promptly research regulatory requirements.
  • Strong understanding of compliance risk management principles and role in advising and providing guidance on bank laws, rules, and regulations, and related policies and procedures.
  • Ability to clearly define scope and identify root cause of problem, research potential solutions, and engage stakeholders in discussion to obtain First Line of Defense engagement; escalation as appropriate.
  • Analyzes documentation, researches solutions, and presents recommendations to stakeholders for implementation of non-complex problems.
  • Ability to identify and understand key risks, issues, and trends and to develop meaningful information to be shared with leadership.
  • Excellent written and verbal communication; Ability to build and maintain strong working relationships and obtain First Line of Defense engagement regarding risk ownership and mitigation activities.
Benefits:

We offer a competitive salary, an ownership stake in the company, medical and dental insurance, time off, a great 401k matching program, tuition assistance program, employee volunteer program, and a wellness program. You'll also have the opportunity to bolster your business knowledge, learning the ins and outs of how successful companies operate and manage their finances, giving you invaluable hands-on experience to help grow your career.

About Western Alliance Bank:

Western Alliance Bank is a wholly owned subsidiary of Western Alliance Bancorporation. Our divisions include Alliance Bank of Arizona, Alliance Association Bank, Bank of Nevada, Bridge Bank, First Independent Bank, and Torrey Pines Bank. We are committed to equal employment and will consider all qualified applicants without regard to race, sex, color, religion, age, nation origin, marital status, disability, protected veteran status, sexual orientation, gender identity, or genetic information.