Top 10 compliance officer Jobs in dallas tx

ASSOCIATE DIRECTOR, COMPLIANCE
Cresset Capital —Dallas, TX
- $110,000 - $120,000 a year
- Microsoft Outlook
- 5 years
- Organizational skills
- Health savings account
- Disability insurance
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Director, Compliance (AML)
moomoo —Dallas, TX
- $145,000 - $180,000 a year
- Full-time
- Office
- In-person
- Senior level
- Paid holidays
- Health insurance
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Senior Director - Compliance Consulting
WTW —Dallas, TX
- $120,000 - $210,000 a year
- Full-time
- HIPAA
- Bachelor's degree
- Travel
- Paid jury duty
- Health savings account
Chief Compliance Officer
Metrocare Services —Dallas, TX
- Full-time
- Clean driving record
- Microsoft Outlook
- Writing skills
- Health savings account
- Paid holidays
Director - Compliance
Selene Finance LP —Dallas, TX
- Full-time
- Office
- Finance
- 8 years
- Health savings account
- Paid holidays
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Deputy Chief Compliance Officer, Broker Dealer Compliance
Cetera Financial Group —Dallas, TX
- $161,000 - $200,000 a year
- Full-time
- Hybrid work
- 8 years
- Analysis skills
- Bachelor's degree
- Paid parental leave
- Paid holidays
12d
Director of Compliance
Rodeo Dental & Orthodontics —Irving, TX
- Dental office
- 5 years
- HIPAA
Quick Apply
6d
Chief Compliance Officer
Tyree and D'Angelo Partners —Dallas, TX
- Office
- Recruiting
- Senior level
Director of Compliance
AllerVie Health —Frisco, TX
- 7 years
- HIPAA
- Master's degree
- Health savings account
- Paid holidays
Quick Apply
Senior Corporate Counsel
Hillwood Development Company LLC —Dallas, TX
- Analysis skills
- Organizational skills
- Senior level
- Paid parental leave
- Health savings account

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Director, Compliance (AML)
moomoo —Dallas, TX
FINRA Series 7 license active at time of hire. Series 24 license active or ability to obtain within 4 months of hire. CAMS certification active at time of hire.
$145,000 - $180,000 a year
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Transformation Analyst
RealPage, Inc. —Richardson, TX
Conduct with guidance cross-functional risk assessments and reviews to implement consistent risk controls. Coordinate with cross-functional teams (engineering,…
$76,600 - $130,400 a year

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Chief Compliance & Quality Officer
Diversified Treatment Alternative Centers —Columbus, OH
This role ensures adherence to federal, state, payer, and accreditation standards while promoting a culture of ethics, safety, accountability, and continuous…
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1d

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ASSOCIATE DIRECTOR, COMPLIANCE

Cresset Capital -
Dallas, TX

Quick Apply

Job Details

$110,000 - $120,000 a year

Benefits

Health savings account
Disability insurance
Health insurance
Dental insurance
401(k)
Vision insurance
Life insurance

Qualifications

Securities law compliance support
Securities law

Full Job Description

About Cresset

Cresset is a firm built by clients, for clients. As an independent, award-winning multi-family office and private investment firm, we are reimagining the way wealth is experienced. Our purpose is to help ensure that both wealth and life are fully optimized—integrated, intentional, and aligned with each client’s vision of success.

We provide access to the caliber of talent, ideas, and investment opportunities typically available to the largest single-family offices and institutions. Our approach is personalized, entrepreneurial, and client-first.

Proudly owned by our clients and employees, Cresset was built to endure. We are creating a 100+ year firm—one focused on delivering an exceptional experience, not only for the families we serve but for the team that serves them. Recognized by Barron’s and Forbes among the nation’s top RIA firms, and as one of the industry’s best places to work,* Cresset is guided by long-term relationships, shared success, and a belief that wealth should serve a life well lived.

Job Description

The Associate Director, Compliance, will support ongoing compliance efforts, focusing primarily on compliance monitoring and testing. Additionally, this role involves conducting branch exams, employee training, and performing other general compliance duties to meet regulatory requirements. This is a great opportunity for a person with experience at an RIA, securities regulator, or other related financial institution. The Candidate should be a proactive, resourceful, self-starter with a roll-up-your-sleeves mentality, who is extremely organized, detail-oriented, and precise, while remaining flexible to changing priorities.

Key Responsibilities

Conduct compliance testing and branch exams to ensure adherence to firm policies, the Investment Advisers Act of 1940, SEC guidelines, and industry regulations.
Monitor supervised/access persons activities, trading activities and transactions to identify potential compliance issues and anomalies.
Create and maintain dashboards and reports to track compliance metrics.
Assist in the automation of data collection and reporting processes to improve efficiency and accuracy.
Present compliance monitoring and testing observations to senior management, ensuring that key insights and recommendations are effectively communicated to support strategic decision-making.
Collaborate with compliance officers to develop data-driven insights and recommendations.
Assist in developing, implementing, and maintaining compliance training for the firm.
Be an integral part of the compliance team, assisting with various aspects of compliance programs, including risk assessments, policy and procedure development, Annual Review, regulatory filings, and the ADV.
Perform or assist with special projects.

Qualifications

College graduate
Proficiency in SEC regulations, including the Advisors Act.
5+ years’ experience in financial services or with a regulatory organization
2+ years’ experience with a registered investment advisor or broker-dealer in a compliance role.
Experience using Charles River or other OMS for compliance monitoring and reporting a plus.
Experience with data visualization tools (e.g., Tableau, Power BI) preferred.
Excellent analytical, problem-solving, and communication skills.
Strong written, verbal and listening skills
Exceptional organization and planning skills with ability to multi-task
Attention to detail and follow-through
Versatile, flexible, and a willingness to work with changing priorities
Proficiency with Microsoft Office Suite (Word, Excel, and PowerPoint, and Outlook)

What We Offer:

At Cresset, we focus on people first. As a service business, our people are our assets. Engaging our clients and employees is our highest priority. Starting base salary is $110,000 - $120,000. Salary will be based on factors including, but not limited to, experience, licenses/certifications, industry knowledge, and geographic location. Cresset offers a competitive compensation package including an annual incentive and a benefits package to all full-time employees including medical, dental, vision, life insurance, 401(k) retirement plan, health savings accounts, short and long-term disability insurance, voluntary critical and accident insurance, and pre-tax parking and transportation programs. Aligning employee and organizational interests, all employees receive equity in Cresset.

Equal Employment Opportunity

It is the policy of Cresset to ensure equal employment opportunity (EEO) for all employees and applicants for employment without regard to race, color, religion, sex, pregnancy (including childbirth, lactation, or related conditions), national origin or ancestry, age, disability, veteran status, uniformed servicemember status, sexual orientation, gender identity, status as a parent, genetic information (including testing and characteristics), or any other characteristic protected by applicable federal, state, or local law. It is Cresset’s policy to comply with applicable laws concerning the employment of persons with disabilities, including reasonable accommodation for applicants and employees with disabilities.

Everything Starts With Culture.

Our Vision

We exist to optimize wealth and elevate life—giving clients the time, clarity, and trusted partnership to pursue what matters most.

Our Values

Disclosures related to awards, recognitions, and rankings available here.

Cresset refers to Cresset Capital Management, and all its respective subsidiaries and affiliates. Cresset Asset Management, LLC, also conducts advisory business under the names of Cresset Sports & Entertainment, CH Investment Partners, and Cresset Capital. Cresset provides investment advisory, family office, and other services to individuals, families, and institutional clients. Cresset also provides investment advisory services to investment vehicles investing in private equity, real estate, and other investment opportunities. Cresset Asset Management, LLC is an SEC registered investment advisor. SEC registration does not imply any specific level of skill or training.

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compliance officer jobs in dallas tx

ASSOCIATE DIRECTOR, COMPLIANCE

Director, Compliance (AML)

Senior Director - Compliance Consulting

Chief Compliance Officer

Director - Compliance

Deputy Chief Compliance Officer, Broker Dealer Compliance

Director of Compliance

Chief Compliance Officer

Director of Compliance

Senior Corporate Counsel

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