Compliance & Supervision Analyst
The MOHR Enterprises LLC —Dallas, TX
- $75,000 - $85,000 a year
- Mid-level
- 3 years
- Analysis skills
Quick Apply
Portfolio Services Analyst
Strategic Staffing Solutions —Dallas, TX
- $23 an hour
- Contract
- Microsoft Outlook
- Mid-level
- Office
Quick Apply
15h
Surveillance Analyst
The MOHR Enterprises LLC —Dallas, TX
- $75,000 - $85,000 a year
- Remote
- Mid-level
- Organizational skills
- Communication skills
Quick Apply
Cash and Trade Processing Representative
Strategic Staffing Solutions —Dallas, TX
- $23 an hour
- Contract
- Microsoft Outlook
- Mid-level
- Office
Quick Apply
4d
Cyber Operations Analyst
Hillwood Development Company LLC —Dallas, TX
- Computer science
- Computer Science
- Windows
- Health savings account
- Paid holidays
Supply Chain Analyst
Michaels Stores —Irving, TX
- Full-time
- Mid-level
- Office
- Bachelor's degree
- Health insurance
- Dental insurance
Trade Compliance Analyst
OSI Systems, Inc. —Richardson, TX
- $93,000 - $108,000 a year
- Full-time
- Mid-level
- Office
- High school diploma or GED
- Paid jury duty
- Health savings account
7d
Logistics Analyst
T1 Energy —Dallas, TX
- Full-time
- Mid-level
Quick Apply
PGIM - Analyst, Portfolio Management
Prudential —Dallas, TX
- $80,000 - $85,000 a year
- Full-time
- Hybrid work
- Office
- Finance
- Analysis skills
- Employee stock purchase plan
- Disability insurance
Analyst, Data Operations
Cambridge Associates LLC —Dallas, TX
- $60,600 - $78,800 a year
- Full-time
- Customer service
- Bachelor of Science
- Mid-level
Data Analyst
Meriton —Dallas, TX
- Microsoft Outlook
- Ability to walk for extended periods
- 5 years
Quick Apply
14d
Credit Support Analyst
U.S. Bank National Association —Dallas, TX
- $25.63 - $34.18 an hour
- Full-time
- Office
- Finance
- Databases
- Paid holidays
- Disability insurance
5h
Treasury Operations Analyst
Susa Financial, Inc —Dallas, TX
- $73,900 - $98,500 a year
- Full-time
- Mid-level
- Office
- Organizational skills
- Employee stock purchase plan
- Health insurance
Quick Apply
Information Security Risk and Compliance Analyst
Sunflower Bank NA —Dallas, TX
- Online Application
- Mid-level
- Office
- Bachelor's degree
- Paid holidays
- Dental insurance
Quick Apply
11d
Supply Chain Analyst
Sky Zone —Dallas, TX
- $60,000 - $80,000 a year
- Full-time
- Hybrid work
- Mid-level
- Finance
- Bachelor's degree
- Health insurance
- Dental insurance
Quick Apply
Risk Analyst
Fortis —Plano, TX
- Mid-level
- 2 years
- Communication skills
Quick Apply
Business Analyst
CEO Foundry —Plano, TX
- Email
- Computer science
- Computer Science
- Customer service
- Health insurance
- Referral program
Private Equity Data Operations Analyst
LP Analyst —Dallas, TX
- Full-time
- Research
- Mid-level
- Office
- Free parking
- Paid parental leave
Quick Apply
Utility Analyst
Csquare —Coppell, TX
- Hybrid work
- Microsoft Outlook
- Bachelor of Science
- Mid-level
Quick Apply
Digital Banking Product Analyst – Wires
PlainsCapital Bank —Dallas, TX
- Full-time
- Computer Science
- Mid-level
- 3 years
- Paid holidays
- Paid time off

I want to receive the latest job alert for exceptions analyst in dallas, tx

By signing in to your account, you agree to SimplyHired's Terms of Service and consent to our Cookie and Privacy Policy.

Compliance & Supervision Analyst

The MOHR Enterprises LLC
Dallas, TX

Quick Apply

Job Details

$75,000 - $85,000 a year

Qualifications

Series 7
Series 24
FINRA License

Full Job Description

Compliance & Supervision Analyst - Series 24

Remote | $75k - $85k Base + Bonus + Full Benefits

We’ve partnered with a growing financial services organization seeking a Compliance & Supervision Analyst to join their team.

This opportunity is ideal for someone coming from a Broker-Dealer or RIA environment with experience in compliance, surveillance, supervision, trade review, advisor activity monitoring, and/or communications review.

Responsibilities

Review advisor activity, transactions, and account-related exceptions
Investigate and document compliance or regulatory concerns
Support supervision of communications and marketing-related materials
Assist with FINRA, SEC, and internal policy reviews
Communicate with advisors and internal teams regarding findings and resolutions
Maintain detailed documentation suitable for audits and regulatory reviews

Qualifications

3+ years of experience within Broker-Dealer, RIA, or financial services environments
Background in compliance, surveillance, supervision, communications review, or trade review
Strong analytical, investigative, and communication skills
Ability to interpret regulations and apply sound judgment

Licenses

FINRA Series 7 required
FINRA Series 24 required
Series 63, 65, or 66 preferred

MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at [email protected]
#LI-NM1

Quick Apply

Refine Your Search

exceptions analyst jobs in dallas, tx