div class="content">TXSE is seeking a motivated and detail-oriented Analyst, Issuer Oversight, to join our Regulatory team in Dallas. This role is integral to supporting the Exchange’s regulatory functions related to initial and continued listing qualifications, regulatory trading halts, corporate actions, and issuer governance matters.
i>Only applicable for San Francisco Candidates: Under the San Francisco Lactation in the Workplace Ordinance, we will provide written notice of lactation accommodation rights, and this notice will automatically be given upon hiring, any inquiry of parental leave or lactation accommodation. The ideal candidate will possess strong experience in AML investigations, Enhanced Due Diligence (EDD), customer risk assessments, and regulatory compliance within the banking and financial services industry.
FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
You will partner closely with product, engineering, and operations teams to embed compliance throughout the product lifecycle by leading risk assessments, defining and validating control requirements, and driving cross-functional readiness for domestic and cross-border money movement and settlement capabilities as well as USDC access and treasury initiatives. Experience assessing compliance and operational risk in payment networks, managed payments products, or regulated payment platforms, including controls related to onboarding, transaction execution, settlement, exception handling, and ongoing monitoring.
p>The primary responsibility of this role is to support the Commercial Credit Risk Oversight function by strengthening policies and procedures related to underwriting, documentation, portfolio management, and regulatory compliance across Commercial Services, with a focus on alignment between Toyota Financial Services (TFS) and Toyota Financial Savings Bank (TFSB). 3+ years of experience at a captive auto finance company or banking institution with direct exposure to wholesale commercial credit portfolios, including underwriting, portfolio management, or management of high-risk commercial accounts.
li>Performs key activities in the tracking, monitoring, analysis and distribution of relevant legal and regulatory changes in direct partnership with the Office of the General Counsel (OGC’) and the Regulatory Affairs departments.
Work is both highly specialized and varied requiring strong research, analytical and decision-making skills, the ability to balance and reconcile competing legal, regulatory and business considerations and to prioritize tasks.
Embedded within the Sales Agent Contact Center and working in close partnership with the Compliance and Legal departments, this role serves as the primary compliance resource for call center operations, monitoring consent practices, managing Do-Not-Call (DNC) obligations, overseeing vendor compliance, and partnering with legal, operations, and IT teams to mitigate regulatory risk. Operating within a fast-paced live lead transfer environment, this position plays a critical role in protecting the organization from TCPA litigation exposure while enabling the sales team to operate efficiently and compliantly.
McKinney, Texas5 days ago
Embedded within the Sales Agent Contact Center and working in close partnership with the Compliance and Legal departments, this role serves as the primary compliance resource for call center operations, monitoring consent practices, managing Do-Not-Call (DNC) obligations, overseeing vendor compliance, and partnering with legal, operations, and IT teams to mitigate regulatory risk. Operating within a fast-paced live lead transfer environment, this position plays a critical role in protecting the organization from TCPA litigation exposure while enabling the sales team to operate efficiently and compliantly.
Independently assesses the complaint to determine if a medical device report needs to be filed with various global regulatory agencies (e.g., FDA, European Competent Authorities) and sends reports within required timeframes, consulting as needed with management. Work environment varies from well lighted office/cubicle, low to moderate noise level, to a variety of conditions caused by travel requirements such as customer offices, research labs, hospitals, hotels, use of automobiles, commercial travel, weather, etc.
Arlington, TX30+ days ago
p>Experience supporting and configuring enterprise compliance, AML, or risk management systems Hands on experience with LexisNexis Bridger or similar sanctions and AML screening platforms Professional experience in AML, sanctions, compliance, risk management, audit, or regulated financial services environments Demonstrated leadership, coaching, and stakeholder management capabilities Strong analytical, problem solving, and decision making skills Fluency in English; additional language skills (e.g., Portuguese, Spanish) are a plus. The position is responsible for delivering stable, compliant, and scalable AML and regulatory technology solutions; overseeing sanctions and risk screening processes; providing technical and compliance subject matter expertise; and partnering with business, IT, and compliance stakeholders to ensure regulatory adherence, operational excellence, and continuous improvement.
Associates who live outside of a 60-mile radius of a corporate office (Carmel, Chicago, and Orlando) may perform this role full-time work from home (WFH) from any US based location, as long as you are willing to work central or eastern time zone hours. This position requires extensive knowledge and expertise with SEC, FINRA, SEC 1940 Act, State, ERISA, DOL, rules and regulations and appropriate experience of regulatory agencies and exchanges.
div class="job__description body">Schedule: Full Time
Job Type: Hybrid
Salary Type: Salary
Req #: 2827
No immigration sponsorship or transfer available for this role. Learn more at www.uberfreight.com.
Schwab Technology Services (STS) enables the future of how clients manage their money by delivering innovative, reliable, and secure technology solutions-supporting Schwab's mission to democratize access to investing and financial planning. The Software Business Analyst (BSA) plays a pivotal role in driving digital transformation across Workplace Services Engineering by aligning business objectives with scalable, secure technology solutions.
p/>The primary responsibility of this role is to support the Commercial Credit Risk Oversight function by strengthening policies and procedures related to underwriting, documentation, portfolio management, and regulatory compliance across Commercial Services, with a focus on alignment between Toyota Financial Services (TFS) and Toyota Financial Savings Bank (TFSB).
3+ years of experience at a captive auto finance company or banking institution with direct exposure to wholesale commercial credit portfolios, including underwriting, portfolio management, or management of high-risk commercial accounts.
This position plays a key role in mitigating fraud risk, preventing duplicate or erroneous payments, improving supplier onboarding efficiency, and enhancing the overall supplier experience through strong vendor governance, reporting visibility, and critical analysis of vendor data and processes. The ideal candidate demonstrates strong analytical and problem-solving skills, exercises sound judgment when evaluating vendor-related risks, and proactively identifies opportunities to improve operational efficiency, controls, and data quality.
What you'll do: The Fraud Model Analyst will help SoFi scale and govern vendor fraud models by: Managing the end-to-end lifecycle of vendor fraud models, including onboarding, documentation, monitoring, and periodic reviews. This individual will partner closely with Model Risk Management (MRM), Legal, Compliance, Fraud Strategy, and external vendors to support onboarding, validation, and ongoing monitoring of vendor models.
In addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 9 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service. Be proficient in leading internal, bond external, and borrower-facing calls; reviewing and reporting on monthly construction monitoring reports; and efficiently managing complex bond closing timelines, rate locks, closing conditions, and Preliminary Operating Statement requirements.
In addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 9 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service. This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.
The Senior Benefits Analyst partners closely with HR, Payroll, HRIS, Finance, Legal, and external vendors to ensure accurate administration, regulatory compliance, operational excellence, and a positive employee experience. Manage relationships HR Business Partners, managers, benefit vendors and other key stakeholders across the organization and serve as a liaison for escalations, service issues, and operational improvements.
Senior Analyst, Global Testing Oversight, GBMT Compliance (Dallas, TX, US, 75219) The Bank of Nova Scotia
Senior Analyst, Global Testing Oversight, GBMT Compliance (Dallas, TX, US, 75219)Dallas, TX24 days ago
p>Education / Experience / Other Information: - At least 1-3 years of experience in compliance testing, internal/external audit, business or risk management role in global financial institution engaged in corporate banking and institutional trading & sales activities (including securities, futures, and over-the-counter derivatives) required. The Senior Analyst will work closely with the Managing Director, Global Head of Central Compliance & Head of Compliance Testing, GBM&T, the Global Testing Center of Excellence, and the Regional Heads of Compliance Testing to prioritize, document, and track "run the bank" and "change the bank" requirements/commitments related to the Testing program.