• Financial Advisor - Plano

    First National Bank of Omaha (Frisco, TX)
    …the community. + ** Compliance & Ethics:** Uphold bank policies, laws, and FINRA / SEC regulations, ensuring compliance with the bank's BSA/AML Program as ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
    First National Bank of Omaha (06/07/25)
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  • Financial Advisor

    First National Bank of Omaha (Plano, TX)
    …the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA / SEC regulations, ensuring compliance with the bank's BSA/AML Program as ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
    First National Bank of Omaha (05/03/25)
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  • Compliance Supervisor - Navy Federal…

    Navy Federal Credit Union (North Richland Hills, TX)
    …compliance related activities performed by registered representatives at NFIS, LLC member FINRA /SIPC and an SEC Registered Investment Advisory Firm as well as ... activities through NFIS online offerings. Provide effective compliance guidance for insurance activities through Navy Federal Financial Group, LLC, an insurance… more
    Navy Federal Credit Union (07/24/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Austin, TX)
    …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations… more
    Guardian Life (06/14/25)
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  • Investment Advisor

    Navy Federal Credit Union (North Richland Hills, TX)
    …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate ... an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures....documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies.… more
    Navy Federal Credit Union (07/12/25)
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  • Senior Manager, CIB & Research Compliance…

    Scotiabank (Houston, TX)
    Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is a ... across industries! We work together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the CIB & Research … more
    Scotiabank (07/23/25)
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  • Financial Advisor Trainee-PCG

    Raymond James Financial, Inc. (Houston, TX)
    …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... or services. * Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in:** * Operating client relationship manager system and… more
    Raymond James Financial, Inc. (07/19/25)
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  • Financial Advisor Trainee

    Raymond James Financial, Inc. (Austin, TX)
    …Experience** General Experience - 13 months to 3 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ), RA - Investment Adv ... or services. * Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in:** * Operating client relationship manager system and… more
    Raymond James Financial, Inc. (06/11/25)
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  • Global Financial Crimes - Sanctions & Name Screen…

    MUFG (Irving, TX)
    …enterprise risk framework. As a strategic leader within the Financial Crimes Compliance function, you will bring deep expertise in quantitative modeling, sanctions ... compliance systems, regulatory policy, and banking operations. You will...regulatory standards, including those set by the FRB, OCC, SEC , FATF, FinCEN, OFAC, and the USA PATRIOT Act.… more
    MUFG (04/30/25)
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  • Physical Products Trader, Pinnacle Fuel

    Marex (Houston, TX)
    …stakeholders. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to ... and ensure that trading activities align with legal and compliance standards. + Stay informed about industry dynamics, emerging...responsibility. + To report any breaches of policy to Compliance and/or your supervisor as required. + To escalate… more
    Marex (06/13/25)
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