- Bank of America (Dallas, TX)
- …learn, grow, and make an impact. Join us! The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of ... facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in a timely and… more
- First Horizon Bank (Houston, TX)
- …of computer applications for services such as market evaluation, portfolio accounting, compliance and prospectuses. + Must have the ability to learn and implement ... tests within a timely manner if licenses are not already held - SIE, Series 7, Series 52 and Series 63 Requirements + Bachelor's degree and/or 2 years… more
- Federal Aviation Administration (Houston, TX)
- …initial certification or operations programs, and their effect on safety and compliance with regulations. Resolves all but unique problems, with the intervention of ... Employment We are not accepting applications from noncitizens. Qualifications Aviation Safety Series , 1825 General Requirements for All Positions: Not more than two… more
- Bank of America (Fort Worth, TX)
- …with terms and conditions set forth in the offer letter.** **You must achieve your SIE, Series 7 and Series 63 licensing with 240 days of your start date. You ... successfully obtain your industry licenses (Security Industry Essentials SIE, Series 7 and Series 63 licensing). These...Focus + Issue Management + Oral Communications + Regulatory Compliance + Active Listening + Adaptability + Problem Solving… more
- Wells Fargo (Houston, TX)
- …financial accounting, credit analysis, valuation, and modeling. You will also prepare for Series 63, 79, and SIE license exams. Following training, you will step ... involvement in professional or academic initiatives **Licensing Requirements** FINRA registration for SIE, Series 63 (or 66), and Series 79 must be completed… more
- Wells Fargo (Houston, TX)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date… more
- Charles Schwab (Westlake, TX)
- …**Required background and experience:** + Bachelor's Degree is required + Active and valid FINRA Series 7 + Active and valid FINRA Series 63 + Active and valid ... in financial services focused on supervisory, risk, control, or compliance . + 10+ years' experience in managerial or executive...with business partners in various departments such as legal, compliance and risk. + Proactive self-starter who is able… more
- Vanguard (Dallas, TX)
- …in a fast-paced environment, ensuring timely delivery of commitments. + Compliance : Maintain accurate client records and ensure adherence to Vanguard's systems, ... experience in advisory or paraplanner roles. + Undergraduate degree required. + SIE, Series 65/66 licenses required. + This job requires a regulatory license and/or… more
- ADP (Dallas, TX)
- …transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates ... other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry...and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the… more
- Regions Bank (Plano, TX)
- …level staff informed about investment products and opportunities + Adheres to compliance requirements and follow corporate and industry protocols This position is ... is not eligible for overtime pay. This position is incentive eligible. **Requirements** + Series 7 + Series 63 & 65 or Series 66 + Life Insurance License… more