- Wells Fargo (Irving, TX)
- …+ Knowledge and understanding of credit risk management + Strong risk management and compliance skills + FINRA registration including Series 7 and 24 (or FINRA ... recognized equivalents) **Job Expectations:** + Registration for FINRA Series 7 & 24 must be completed within a 90 or 180-day time period contingent upon number of… more
- JPMorgan Chase (Plano, TX)
- …qualifications, capabilities, and skills** + A valid and active Series 7 and Series 63 + Strong compliance record in prior position(s) and ability to hold ... a registration in all 50 states + Ability to create and foster strong partnerships with business partners, working independently as well as in a team environment + Capacity to manage multiple priorities in a fast-paced environment and be adaptive to change +… more
- Guardian Life (Austin, TX)
- …best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie, ... on the customer. We do this through leveraging a series of core capabilities, which includes accountability, interpersonal effectiveness,...Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance … 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 ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the...degree desired but not required. + Securities licenses, eg, Series 79 preferred, but not required + Strong computer… more
- PNC (TX)
- …and have an opportunity to contribute to the company's success. As a Compliance Program Advisor, you will be within PNC's Retail Organization supporting the Risk, ... Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may...and or Broker Dealer experience * FINRA regulatory licenses ( series 24 or 53) are preferred for this role… more
- ISC2 (Austin, TX)
- …that empowers all of our successes. Learn more. **Position Summary** The Tax & Compliance Lead plays a crucial role in ensuring the organization adheres to all ... applicable auditing standards, domestic and international compliance measures, and tax laws and regulations. This position...deadlines + Experience with Sage Intacct and Vertex O Series , a plus **Education and Work Experience** + Bachelor's… more
- PNC (San Antonio, TX)
- …industry and market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance with ... with Senior Management for the alignment of department's strategic goals. Licenses Required: SIE, Series 52 & 63, Series 53 (79 optional). Other licensing may be… more
- Wells Fargo (Rowlett, TX)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized… more
- Bank of America (The Woodlands, TX)
- …transactions and operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively manage any ... the broader enterprise + Managing the daily operations ensuring compliance to industry regulations, and policies and procedures **Required...policies and procedures **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or … more
- Wells Fargo (Rockwall, TX)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 and all related… more
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