Dallas Area Compliance | Jobs
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Current Job Listings

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Any job opening listed on this page is provided for informational purposes only and is not affiliated with DACA.

Compliance Manager

Babich & Associates

Dallas, Texas

October 25, 2017


Contact Information

Kevin Maynes, CPC

Compliance Manager needed for $800 million community bank in Dallas.
Must have knowledge of BSA, AML, and MSB.
Strong knowledge of overall banking compliance and knowledge of bank regulations from A-Z is preferred.

Salary is in the 85 to 105 K range plus bonus.
Must have good oral and written communication skills and a “team” approach.

Please send me a resume if you are interested in learning more.
Also please pass this on to anyone else you feel may be qualified.
Thank you in advance for your help!

• The Compliance Officer / Manager will handle all regulatory and compliance for the bank.
• Will be responsible for all commercial lending compliance including BSA, AML, and MSB.
• Some exposure to consumer or mortgage compliance is preferred but not required.
• Compliance certification is preferred (CRCM or CAMS) but not required.
• Will manage three (3) others.

IT Compliance Analyst

The InSource Group

Irving, Texas

October 10, 2017


Contact Information

Beth Noce

International organization is looking for several IT Compliance Analysts.


Looking for several IT Compliance Analysts that have a background in Cyber Security – either Audit or Compliance having participated in ISO 27001 Audits and Compliance work. Will work with the team to chase evidences, understand and prove out compliance against the 100+ controls. Will work with general supervision and work through the 100+ Controls that fall into the following categories: Access Control, Audit & Accountability, Configuration Management, Identification & Authentication, Incident Response, Maintenance, Media Protection, Personnel Security, Physical Protection, Risk Assessment, Security Assessment, Systems & Communication Protection and System& Information Integrity.


Specific areas of focus include the security policies, standards and regulatory frameworks that govern the business.

As a member of the IT Security & Compliance team, the Analyst will perform compliance testing needed to test on any control activities in the control families listed above. The IT Compliance Analyst will be responsible for ensuring the security and resiliency of computing environment, protecting customer and employee confidential information, and complying with audit and regulatory requirements. This is accomplished through strong leadership and active collaboration with multiple lines of business and technology teams to provide high quality solutions and services that are focused on improving organizations risk posture. Associate may interact with his or her supervisor several times a week, perhaps daily, to receive guidance and feedback. Some non-routine activities may require a supervisor’s advance approval.

• Bachelor’s degree from an accredited program in information systems or related field, or equivalent experience required
• 2+ years of IT compliance experience with former ISO 27001 Compliance work.
• 1+ years of process and/or tool engineering activity, preferably in the information risk space required
• Experience doing IT regulatory compliance required
• Knowledge of NIST 800-53 or NIST 800-171 is a plus
• Knowledge of CISA preferred

Loan Operations Administrative Assistant

Liberty Capital Bank

Addison, Texas

October 4, 2017


Contact Information

Jan Villasana

This position requires a professional team member that can make a positive contribution to the success of our unique bank. The Loan Operations Assistant will be responsible for assisting with the daily loan operations of the bank. This position will require someone that is willing to become knowledgeable and experienced in a multitude of bank functions and software systems. The responsibilities will be instrumental in building the bank’s culture and framework and will report to the Loan Operations Officer and Lending Assistant / Banking Officer.

• Post and research loan payments
• Process Participation payments as received
• Mail monthly billing statements
• Assemble credit and collateral files in an orderly fashion
• File appropriate documentation in credit and collateral files
• Scan loan documents and exception items in FDM
• Monitor, track and update exceptions in FDM
• Prepare loan documents through FLO (Fidelity Software)
• Check loan documents compared to Loan Approval Worksheet
• Book/Fund loans via Cashier’s Check, Wire and/or deposit
• Prepare Participation Agreements and prepare the necessary documents for Participant
• Work with Participating banks on loan purchases and loans sold
• Loan servicing/maintenance (i.e. payment changes, address changes)
• Assist loan officers and loan assistant as needed with loan packages
• Facilitate construction draws as needed
• Back the loan operations officer as needed with monthly and quarterly reporting
• Provide backup account services (i.e. payments, transfers)

Must have loan operations experience.

Sr Compliance Internal Auditor

Colonial Companies

Fort Worth, Texas

September 27, 2017


Contact Information

Jamie Bradlee, Recruiter

As a Sr Compliance Internal Auditor with Colonial, you will be responsible for: evaluating risks in various areas and monitoring the institution’s compliance with internal policies and procedures and external rules governing Consumer Banking Laws and Regulations; Application of knowledge and expertise to determine whether established policies, procedures, and controls are effective to ensure compliance; Managing the Bank’s Compliance Management audits, with involvement in the development, planning and performing Regulatory Compliance Audits and Projects; Serving in a supervisory capacity to assist in the audit function; Performing reviews of staff audit work papers and oversees audit staff; and assignment to special project reviews to ensure that key activities conform with established policy and procedures as needed.


Click here to apply.

• Identify and evaluate inherent risks and related controls, and test and evaluate controls
• Perform testing of key controls in accordance with established standards and protocols to determine whether the controls are operating effectively
• Conduct audit procedures and prepare acceptable working papers which record and summarize audit data and adequately support conclusions
• Develop audit programs and testing procedures relevant to risk and test objectives
• Ability to review legal and policy requirements and analyze information to develop test samples
• Possess strong analytical skills to identify, document, present and report issues
• Exercise sound professional judgement at all times
• Interact successfully with management, team members, business partners and regulators
• Evaluate proposed management issues to determine whether they, are in fact, management issues
• Ensure that Internal Audit recommendations and alternatives are practical and cost effective
• Ensure that issues contained in Internal Audit reports and other communications with management are supported by sufficient, competent, and useful evidential matter
• Well-developed organizational skills with the ability to manage multiple and sometimes competing priorities
• Demonstrate strong oral and written communication skills with the ability to adhere to strict documentation requirements
• Draft, review, and edit Internal Audit reports to ensure consistency with work performed and discussions with business unit management
• Support the Internal Audit team at meetings and exit conferences with business unit management
• Actively participate in the Internal Audit Contact Program meeting with business unit management on a regular basis to foster open communication
• Ensure adherence, at all times, to all applicable department and professional standards
• Communicates assigned tasks to team in a manner that is clear and concise ensuring high quality, accurate, and efficient results
• Focus on professional growth and proactively seeks relevant education, training and certification opportunities
• Perform other related duties as assigned

• 5+ years of Financial Institution experience, with mortgage banking (origination) preferred
• 5+ years of experience in Regulatory Compliance auditing, independent or internal auditing and/or other relevant business process controls work including the design, performance, and evaluation of compliance related tests to ensure business unit compliance
• 5+ years working with external auditors, examiners, and regulatory auditors
• Bachelor’s degree in Accounting, Finance or related field
• Certified Regulatory Compliance Manager (CRCM) preferred or other relevant financial institution compliance or mortgage industry certification
• Relevant experience with the following regulations and/or laws: Regulation Z, Regulation X, Home Owners Protection Act, Flood Disaster Protection Act, Servicemembers Civil Relief Act, S.A.F.E. Act, Privacy, Fair Credit Reporting Act, Fair and Accurate Credit Transactions Act, Fair Debt Collections Practices Act, Home Mortgage Disclosure Act, and Fair Lending laws (Regulation B, Fair Housing Act), Unfair, Deceptive Abusive Acts or Practices (UDAAP), Bank Secrecy Act (BSA) & Anti-Money Laundering (AML), Electronic Funds Transfer (Reg E), Community Reinvestment Act, Reg CC, and Reg DD required
• Strong ability to identify risks and related controls, and test and evaluate controls
• Experience in performing risk assessments
• Key understanding of the internal audit process
• Knowledge of Mortgage Operations, Underwriting and Originations activities
• Demonstrate leadership, problem solving, and mentoring skills
• Ability to work both independently and as part of a team with professionals at all levels
• Skill sets for supervising professional staff
• Possess a positive attitude, strong work ethic, and professional demeanor
• Intermediate computer skills with working knowledge of current Microsoft Office products and other applicable software programs

Compliance Auditor

Wiseman Bank Services, Inc.

East Texas

August 28, 2017


Contact Information

Misty Wiseman

Looking for contract help for bank loan and deposit compliance auditing as well as fair lending and HMDA. CRCM certification preferred. Needing help 40 hours every week until the end of the year. Potential for full-time employment afterwards as well. Must have experience auditing in these areas and be able to hit the ground running with little to no training. Will primarily be working alone. Work is primarily in the East Texas area, so would need to live fairly close to East Texas/ Northeast Texas. If interested, please email resume to mwiseman@wisemanbankservices.com.

Auditing all loan regs including but not limited to Reg Z (with emphasis on TRID), RESPA, MLA, ECOA, flood, etc. As well as deposit compliance regs including but not limited to Reg DD, Reg C, Reg E, Reg D, etc. Need to have a strong working knowledge of these regs and know what to look for to determine if the bank is compliant or not.

Experience auditing (external or internal) and CRCM certification preferred. Report writing skills necessary.

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