Employee Investing and Activities Compliance, Associate/Director

What you’d do

Manage compliance for Wealth Management field and home office employees, reviewing outside business activity and private investment disclosures and advising on employee trading policies. Full time role in Dallas, also supporting regulatory and audit information requests. Found on the employer's careers page on Oct 7, 2026. Apply through the link.

You’ll need

• Compliance experience in financial services
• Knowledge of employee trading and outside business activity rules
• Experience reviewing private investment disclosures
• Ability to support regulatory and internal audit requests