- 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 (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
- TIAA (Frisco, TX)
- …requires in-depth industry knowledge, regulatory acumen, and a strong understanding of applying FINRA , NAIC, MSRB, and SEC marketing rules. This role also ... marketing compliance , and/or communication review experience. General compliance experience will also be considered. + FINRA... compliance experience will also be considered. + FINRA Series 7. **Preferred Qualifications:** + 5+ years of… more
- 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 ... for smaller dollar volume, and less complex, 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 (El Paso, TX)
- …and document basic account activity and execution per NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct periodic review of accounts to ... Develop a beginning pipeline of internal/external referral sources in compliance with Navy Federal policies and procedures and guidelines...in order to comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies… more
- 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
- Raymond James Financial, Inc. (Knoxville, TX)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee… more
- Charles Schwab (Westlake, TX)
- …responsible for Schwab's engagement with its securities/commodities regulators, including the SEC , FINRA , CFTC, NFA, international and state securities ... regulators, and exchanges such as CME Group, on compliance -related matters, regulatory inquiries, and examinations. The Regulatory Exam...+ Experience working at a securities regulatory agency (ie, SEC or FINRA ). + 10+ years experience… more
- 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. (Frisco, 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