Compliance Director (Banking) jobs in Dallas, TX

Compliance Director (Banking) manages operations to identify and respond to suspicious activity violating current anti-money laundering (AML) regulations as defined in the US Bank Secrecy Act (BSA) or other governmental anti-terrorist financing programs. Implements oversight systems, interdiction software, and audit processes to perform daily transaction monitoring and identify suspicious activity patterns. Being a Compliance Director (Banking) monitors activity and ensures adherence to Know your Customer (KYC) protocols and regulatory requirements for required filings and reporting. Leads investigations of suspicious activity to pursue corrective actions and ensure completion of required filings. Additionally, Compliance Director (Banking) maintains extensive knowledge of financial regulations, risk management best practices, and changing fraudulent trends to develop and implement appropriate compliance procedures. Delivers compliance training with up-to-date regulatory information and procedures to develop and guide well-informed staff. Typically requires a bachelor's degree. May have the Certified Anti Money Laundering Specialist (CAMS) certification. Typically reports to a director. The Compliance Director (Banking) typically manages through subordinate managers and professionals in larger groups of moderate complexity. Provides input to strategic decisions that affect the functional area of responsibility. May give input into developing the budget. To be a Compliance Director (Banking) typically requires 3+ years of managerial experience. Capable of resolving escalated issues arising from operations and requiring coordination with other departments. (Copyright 2024 Salary.com)

A
Director of Compliance
  • Altruist Corp
  • Dallas, TX FULL_TIME
  • About Altruist

    Altruist is a fast growing fintech company that's transforming the financial advice industry. Our mission is to make financial advice better, more affordable, and accessible to everyone. We’re a modern custodian built exclusively for registered investment advisors (RIAs). As we disrupt legacy custodians and revolutionize the $100T RIA market, we're seeking exceptional individuals to join our team. If you embody our core values of kindness, brilliance, and grit, and are passionate about making a meaningful impact, we want to hear from you!

    About the position

    Altruist is entering an exciting phase, and we're looking for a Director of Compliance to join our Operations team! As the Director of Compliance for our clearing broker-dealer, you will play a pivotal role in overseeing and managing the firm's general compliance operations. This key leadership position involves ensuring adherence to regulatory requirements, supervising FINRA filings, managing regulatory reporting obligations, overseeing the Continuing Education (CE) program, and conducting comprehensive compliance reviews.

    What you’ll do

    • Oversee the timely and accurate submission of all required forms and reports to FINRA and other relevant regulatory bodies.
    • Monitor regulatory changes and update internal procedures to ensure ongoing compliance.
    • Collaborate with operations teams to address regulatory inquiries and examinations.
    • Develop, implement, and manage the firm's Continuing Education program for all relevant employees.
    • Ensure that employees are adequately trained on regulatory changes and industry best practices.
    • Track and maintain records of employee certifications and training completion.
    • Plan, execute, and oversee regular compliance reviews to assess adherence to regulatory requirements and internal policies.
    • Collaborate with internal teams and external consultants to conduct thorough reviews.
    • Provide recommendations for process improvements based on review findings.
    • Develop, update, and communicate compliance policies and procedures in line with regulatory changes and industry best practices.
    • Ensure that employees understand and adhere to established compliance policies.
    • Identify, assess, and mitigate compliance-related risks.
    • Work closely with risk management and legal teams to address and resolve compliance-related issues.
    • Provide training sessions to employees on compliance-related topics.
    • Foster a culture of compliance awareness and ethical behavior throughout the organization.
    • Collaborate with other departments, including legal, risk management, and operations, to address compliance-related matters.
    • Act as a liaison with regulatory agencies and industry organizations.
    • Maintain comprehensive records of all compliance activities, including regulatory filings, training records, and compliance reviews.

    What you’ll bring

    • Bachelor's degree in a relevant field; advanced degree or professional certifications (e.g., CAMS, CRCM) is a plus.
    • 10 years of experience in regulatory compliance within the financial services industry, with a focus on clearing broker-dealer operations.
    • In-depth knowledge of FINRA rules and regulations, SEC regulations, and other relevant financial industry compliance requirements.
    • Proven experience in managing compliance programs, form filings, and regulatory reporting.
    • Strong leadership and people management skills.
    • Excellent communication and interpersonal skills.

    Benefits

    • Competitive salary and stock options
    • Premium Healthcare, Dental, and Vision insurance plans
    • Generous paid parental leave
    • 401(k) savings plan with matching contributions
    • Flexible paid time off

    Total compensation includes a competitive benefits package along with equity in the form of Stock Options (ISOs). A salary offer will be determined by a number of factors including experience, skill level, internal pay equity, geographic location, and other relevant business considerations. We review all employee pay and compensation programs regularly to ensure fair, equitable, and competitive pay. At Altruist, we are committed to providing fair, equitable, and competitive compensation by leveraging market data to inform our pay bands. Base salaries will be reviewed at regular intervals throughout the year, typically in conjunction with performance review cycles. By evaluating compensation on a regular basis, we are able to reward high performance and ensure all employees have opportunities for growth.

    Don’t meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they meet every single qualification. At Altruist we are dedicated to building a diverse, inclusive, and authentic workplace, so if you’re excited about this role, but your past experience doesn’t align perfectly with every qualification in the job description, we encourage you to apply anyways. You may be just the right candidate for this or other roles.

  • 2 Days Ago

C
Compliance, FCC - Transaction Banking, Vice President
  • Candidate Experience Site - Lateral
  • Richardson, TX FULL_TIME
  • Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accompl...
  • 21 Days Ago

C
Director / Managing Director Investment Banking
  • ComCap Holdings
  • Dallas, TX FULL_TIME
  • Description We are seeking a Director or Managing Director to focus on mid-market origination. ComCap focuses on companies with $10m in SaaS revenue or $5m in EBITDA across our sectors of expertise. Q...
  • 22 Days Ago

C
National Director Retail Banking and Operations
  • Comerica Bank
  • Dallas, TX FULL_TIME
  • National Director Retail Banking and Operations The National Director, Retail Banking has overall leadership and management responsibility for Banking Center sales and service nationally. As a senior ...
  • 2 Days Ago

C
Director Middle Market and Business Banking
  • Comerica Bank
  • Dallas, TX FULL_TIME
  • Department Manager Middle Market and Business BankingThe Department Manager Middle Market and Business Banking role will be responsible for the development and coordination of all Middle Market and Bu...
  • 1 Month Ago

I
Director - Compliance (Hybrid)
  • IQ-EQ
  • Dallas, TX FULL_TIME
  • Company DescriptionIQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fun...
  • 13 Days Ago

Filters

Clear All

Filter Jobs By Location
  • Filter Jobs by companies
  • More

0 Compliance Director (Banking) jobs found in Dallas, TX area

E
Finance and Accounting Manager
  • Equest
  • Dallas, TX
  • Job Description Job Description Finance and Accounting Manager Part-Time: 25-30 hours per week JOB OVERVIEW: Equest’s Ac...
  • 3/28/2024 12:00:00 AM

L
Treasury Manager - Irving, TX (90k-100k)
  • LHH
  • Irving, TX
  • LHH is working with a company that in the aviation industry that is adding a new Treasury Manager to their team. In this...
  • 3/28/2024 12:00:00 AM

S
Project Financial Manager
  • Stelvio Group
  • Dallas, TX
  • Project Financial Manager Location: Dallas - Hybrid My client is hiring for a Project Financial Manager, this position o...
  • 3/27/2024 12:00:00 AM

D
Internal Revenue Agent (Computer Audit Specialist (CAS) - Examiner) 12 MONTH ROSTER AMENDED
  • Department Of The Treasury
  • Dallas, TX
  • Duties WHAT IS THE LARGE BUSINESS & INTERNATIONAL (LB&I) DIVISION? A description of the business units can be found at: ...
  • 3/27/2024 12:00:00 AM

A
Director of Finance, - Apparel Solutions Aftermarket, Americas
  • Avery Dennison
  • Dallas, TX
  • Company Description About Avery Dennison Corporation: Avery Dennison Corporation (NYSE: AVY) is a global materials scien...
  • 3/26/2024 12:00:00 AM

C
Senior Technical Officer
  • CornerStone Technology Talent Services
  • Frisco, TX
  • Job title: Senior Technical Officer Location: Frisco, TX Type: Full Time On Site Job Overview: As the Chief Technical Of...
  • 3/25/2024 12:00:00 AM

C
Financial Services Operations Specialist - Registered Investment Advisor
  • Concurrent
  • Dallas, TX
  • Concurrent Investment Advisors is a newly formed Registered Investment Advisor firm that offers a multi-custodial hybrid...
  • 3/24/2024 12:00:00 AM

J
Fund Controller / CFO - Hedge Funds, Private Equity, & Venture Capital Funds
  • Junonia Partners
  • Dallas, TX
  • Junonia Partners provides Outsourced CFO and Controller level services to investment advisors of hedge funds, private eq...
  • 3/24/2024 12:00:00 AM

Dallas (/ˈdæləs/), officially the City of Dallas, is a city in the U.S. state of Texas and the seat of Dallas County, with portions extending into Collin, Denton, Kaufman and Rockwall counties. With an estimated 2017 population of 1,341,075, it is the ninth most-populous city in the U.S. and third in Texas after Houston and San Antonio. It is also the eighteenth most-populous city in North America as of 2015. Located in North Texas, the city of Dallas is the main core of the largest metropolitan area in the Southern United States and the largest inland metropolitan area in the U.S. that lacks ...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Director (Banking) jobs
$113,364 to $162,655
Dallas, Texas area prices
were up 2.2% from a year ago

Compliance Director (Banking) in Lake Charles, LA
Finally, another benefit of obtaining a compliance officer certification is that regulatory compliance certifications can be utilized for career advancement.  Certifications are often a requirement for certain job postings, help to bring in a higher salary, and put a candidate above the competition.
December 23, 2019
Compliance Director (Banking) in Johnstown, PA
Be first to read the latest tech news, Industry Leader's Insights, and CIO interviews of medium and large enterprises exclusively from Banking CIO Outlook.
December 07, 2019
Compliance Director (Banking) in Gulfport, MS
That turnover is largely a function of the way the role has evolved within the changing regulatory environment, said Cynthia Dow, a Russell Reynolds consultant who leads its legal, regulatory and compliance officers practice.
January 20, 2020