- Comerica (Dallas, TX)
- …are followed to aid in minimizing various risk elements. Ensures compliance with corporate and regulatory policies and procedures. Maintains proper individual ... in Banking or the Financial Services industry Preferred Licenses - Certifications: + Series 7 + Series 63 + Series 79 About Comerica We know our employees… more
- Neuberger Berman (TX)
- …Liaise with other internal teams (marketing, performance, analytics, operations, legal & compliance ) to ensure client needs are met; effectively build and maintain ... teams + Desire to contribute to the building of a nascent business + Series 7, 63/65 or Series 7, 66 required + Series 31 required within 3 months of… more
- Safran (Grand Prairie, TX)
- …of an effective Quality Management System program that operates in compliance with corporate quality policies, procedures, regulatory requirements, and industry best ... regulatory documentation, eg, FAA, EASA, CAAC, UK CAA, etc., is current, in compliance with regulations and readily available. * Facilitate and lead the use of… more
- Truist (Austin, TX)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life,… more
- Veterans Affairs, Veterans Health Administration (San Antonio, TX)
- …planning, construction project management, and infrastructure upgrades. Ensuring compliance with healthcare regulatory, safety, and accreditation standards. ... criteria). All individuals employed in VHA in this occupational series or in another occupational series performing...in a highly fluid environment. i. Ability to ensure compliance with healthcare industry standards and regulatory agency and… more
- US Air Force - Agency Wide (Goodfellow AFB, TX)
- …General Schedule Positions for the GS-2210, Information Technology (IT) Management Series (Alternative A). Experience: Experience must be IT related; the experience ... regulations, policies, products and services sufficient to develop specifications to ensure compliance with security requirements at the LAN level and to plan and… more
- Raymond James Financial, Inc. (Dallas, TX)
- …new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee ... services. + Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in** + Operating client relationship manager...that an exemption or grandfathering cannot be applied. + Series 7 and Series 66 or the… more
- Comerica (Houston, TX)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... banking needs + 7 years developing and executing sales and marketing plans + Series 7 + Series 66 + State Insurance License Preferred: + CFP or CTFA, CFA, CPA,… more
- Citigroup (San Antonio, TX)
- …to investment operations - including margin, options, and placing unsolicited securities trades ( Series 7 & 63 required) as required + Ensures customer claims and ... and firm policy + Ensures that KYC/AML and other compliance norms are strictly adhered to + Builds a...(Excel, Outlook, and Word) preferred + US Registered FINRA Series 7 & 63 Required. **Education:** + Bachelor's/University degree… more
- First National Bank of Omaha (Plano, TX)
- …in local civic organizations, fostering connections within the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA/SEC regulations, ensuring ... compliance with the bank's BSA/AML Program as it applies...in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63...+ FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life, Accident… more
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