- Navy Federal Credit Union (North Richland Hills, TX)
- …and existing regulations and legislation to ensure compliance + Ensure full compliance of all applicable regulatory organizations and NFFG + Recommend policy ... NFIS, LLC member FINRA/SIPC and an SEC Registered Investment Advisory Firm as well as activities through NFIS online... + Prepare ad hoc and required industry and regulatory reports including audit inquires in compliance … more
- Truist (Dallas, TX)
- …of influence who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, ... footprint). Utilize objective and sound personal financial planning and financial advisory concepts to develop and deepen relationships and provide an integrated… more
- MUFG (Irving, TX)
- …this individual will support in the oversight and continuous enhancement of the Bank 's Global Sanctions Compliance Program. The GSCD Program is responsible for ... advising on regulatory / bank policy matters, driving implementation of global..._Sanctions Controls_ + Sanctions list management. + Providing sanctions compliance leadership and expertise to technology stakeholders on a… more
- CIBC (Austin, TX)
- …in focus. + **Risk aware:** You maintain a strong understanding of operational, regulatory , and compliance -related requirements. **What You Need to Succeed** + A ... We're building a relationship-oriented bank for the modern world. We need talented,...culture by leveraging your expertise in investment and wealth advisory services to deliver tailored client solutions. + **Engage… more
- HSBC (Houston, TX)
- …will play a pivotal role in providing technical expertise and solution advisory to commodities clients and prospects (particularly in the energy space), establishing ... and maximize the financial contribution of the GTS business, deploying the Bank 's capital effectively and efficiently in partnership with the Corporate and… more
- Navy Federal Credit Union (North Richland Hills, TX)
- …offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain, ... comply with Navy Federal standards and FINRA, NASAA, SEC and other regulatory agencies. + Prepare standard/special reports required by FINRA, NASAA and SEC,… more
- Zions Bancorporation (Houston, TX)
- …is a national leader in Small Business Administration lending and public finance advisory services and is a consistent top recipient of Greenwich Excellence awards ... new products and enhancements-collaborating with Product, Marketing, Sales, and Compliance to ensure timely, creative rollouts, while tracking engagement, adoption,… more
- MUFG (Irving, TX)
- …red flags/inconsistencies within a given timeframe + Conduct screening in accordance with Bank policy and escalate true hits to Adverse Findings. + Identify red ... + Generates a list of Proposed Questions for AML Advisory in preparation for the customer site visit/call +...will be assigned regularly **Qualifications:** + Experience in AML/BSA Compliance & KYC preferably within the financial services industry… more
- Truist (Fort Worth, TX)
- …data and acquisition and sharing this data according to Truist's policies including compliance with all related bank , regulatory , and legal ... with disabilities to perform the essential functions. 1. Eight years of client advisory experience working with high or ultra-high net worth families with some prior… more