- First National Bank of Omaha (Frisco, 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
- Wells Fargo (Bee Cave, TX)
- …the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands ... the organization and Independent Offices. Additionally, you will partner with areas of Compliance , Legal and the Line of Business, as needed, in addressing concerns… more
- JPMorgan Chase (Webster, TX)
- …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... qualifications, capabilities, and skills** + A valid and active Series 7 license is required + If you were...Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life and Health Insurance license… more
- TIAA (TX)
- …a robust training and onboarding program followed by an ongoing speaker series , lunch-and-learns, and cohort engagement activities. This job may have the opportunity ... areas: Technology, Asset Management, Financial Analysis/Accounting, Audit, Risk and Compliance , Human Resources and Advice and Client Relationships. **Key… more
- Veterans Affairs, Veterans Health Administration (San Antonio, TX)
- …any synergistic, antagonistic, cumulative, potential overdoses and/or incompatibilities, compliance , anticipate side effects, toxicity and adverse effects. Provides ... to have met all qualification requirements for the title, series and grade held, including positive education and licensure/certification/registration that… more
- Charles Schwab (Westlake, TX)
- …Schwab strategy. Essential skills include: **Required Qualifications:** + **Active and valid FINRA Series 7 and 63 licenses required ** + **Active and valid FINRA ... Series 9/10 license is required ** + Understanding of...+ Notary preferred + Solid understanding of regulatory and compliance policies associated with brokerage business + Demonstrated experience… more
- Defense Commissary Agency (Fort Sam Houston, TX)
- …for additions, deletions, or changes to contractor services to ensure compliance with DeCA directives. Approves or rejects contractor's work schedule and ... meet the Office of Personnel Management (OPM) qualifications for series 1101 and additional requirements by the announcement closing...the online application process, you will respond to a series of questions designed to evaluate your level of… more
- Butler America (Grand Prairie, TX)
- …Checking process which include but are not limited to format, specification compliance , completeness, accuracy, design soundness, ASME Y14.5 GD&T standards, ASME Y- ... series . Drawing and Documentation standards, fabrication, producibility, assembly, installation,...Design and/or Design Checking. -8+ years experience with ASME Y- series . Worksite classification allows for possible 2 days Work… more
- USAA (Plano, TX)
- …effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. **What you have:** + High School Diploma ... within 90 days of hire. + Required maintenance of FINRA Series 7 license. + Required maintenance of FINRA Series 66 (or 63 and 65) license. + Must be able… more
- BluePearl (San Antonio, TX)
- …in emergency medicine. + **Ongoing Didactics** : Participate in a weekly webinar series designed to enhance your learning and keep you updated on the latest ... continued growth and support. + **Ongoing Didactics** : Participate in a weekly webinar series designed to enhance your learning and keep you updated on the latest… more