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.
As an Analyst, you will be part of a team that is responsible for developing, implementing, and maintaining compliance programs for a variety of investment managers and ensuring that our client organizations adhere to their legal and regulatory requirements. As an Analyst, you will work with our client teams to conduct testing, provide training, offer guidance on compliance matters and identify and mitigate potential risks.
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.
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.
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.
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.
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.
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.
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.
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.
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.
Client Inquiry Management: Delivers timely and accurate resolutions to moderately complex client inquiries related to legal orders, subpoenas, and account restrictions via branch email by researching issues using internal systems and collaborating with Legal partners, Front-Line Units, and other internal departments, improving client experience and operational efficiency. Once the requested data and documents are provided or account restrictions are applied, the team manages the transaction through receiving a release, send pay order instructions to the branch, provide requested documents to internal/external requestor or receipt of a protective maintenance removal request.
p>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.
Carrollton, TX24 days ago
What You'll Bring Bachelor's degree or equivalent experience 5+ years of relevant industry experience Strong knowledge of agency guidelines Ability to interpret legal and financial documents Excellent analytical and communication skills Professional certifications Experience with automated review systems Leadership or mentoring experience Risk management background Why You Should Join As one of the top mortgage lenders in the country, Pennymac has helped over 4 million lifetime homeowners achieve and sustain their aspirations of home. Compensation: Individual salary may vary based on multiple factors including specific role, geographic location / market data, and skills and experience as defined below: Lower in range - Building skills and experience in the role Mid-range - Experience and skills align with proficiency in the role Higher in range - Experience and skills add value above typical requirements of the role Some roles may be eligible for performance-based compensation and/or stock-based incentives awarded to employees based on company and individual performance.
Toyota is proud to have 10+ different Business Partnering Groups across 100 different North American chapter locations that support team members’ efforts to dream, do and grow without questioning that they belong. Serve as a key analytical partner to cross-functional stakeholders, leading advanced impact and swap-set analyses to assess proposed credit policy or strategy changes and quantify potential risk implications.
Toyota is proud to have 10+ different Business Partnering Groups across 100 different North American chapter locations that support team members' efforts to dream, do and grow without questioning that they belong. Serve as a key analytical partner to cross-functional stakeholders, leading advanced impact and swap-set analyses to assess proposed credit policy or strategy changes and quantify potential risk implications.
ul style="margin-top:0in;margin-bottom:0in">Support month‑end and quarter‑end close processes for treasury, including debt valuation reports, treasury support packages, journal entry preparation/backup and account reconciliations in collaboration with Accounting. - Assist in executing capital markets transactions, including debt issuances and refinancing, swap transactions, through financial modeling, preparation of presentation materials, and coordination with internal and external stakeholders.
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.