- 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 (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
- 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 (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
- 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
- Charles Schwab (Westlake, TX)
- …primarily responsible for Schwab's engagement with its securities regulators, including the SEC , FINRA , CFTC, NFA, and international and state securities ... regulators, on regulatory inquiries and examinations. The **Senior Specialist, Compliance ** will play a key role in partnering with RLO-FR team members on inquiry… more
- 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
- JPMorgan Chase (Plano, TX)
- …LLC (JPMS LLC) is a licensed broker-dealer and investment adviser registered with the SEC and FINRA . It is also a Municipal Securities Dealer, Futures Commission ... you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our business worldwide. As a Legal Entity Control… more
- 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
- MUFG (Irving, TX)
- …neural networks, fuzzy logic matching, decision trees, etc. + Familiarity of current compliance rules and regulations of the FRB, SEC , OCC, FATF, FinCEN, ... + Familiarity implementing, testing or evaluating performance of financial crime and compliance systems. + Proven track record of strong quantitative testing and… more