- Capital One (Plano, TX)
- …Specialists) certification, or CIPP (Certified Information Privacy Professional) certification, or Series 7 certification, Series 24 certification, or ... AML Compliance Advisory Manager The AML (Anti Money Laundering) Compliance Advisor Manager performs a key risk management role (second line of defense), to help… more
- PNC (San Antonio, TX)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance...Derivatives - SIE, Series 7 and 63 within 120 days… more
- First Horizon Bank (Dallas, TX)
- …OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license, etc)** None required **About Us** ... and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of...laws and regulations related to Consumer, Trust, and Commercial Compliance to be leveraged as part of other testing… more
- Bank of America (The Woodlands, TX)
- … to industry regulations, and policies and procedures **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- TIAA (Frisco, TX)
- …**Work Experience** + 5+ Years Required; 7 + Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series 66; ... influences organizational stakeholders and team members to ensure strict adherence to compliance . + Manages and develops performance of team by leading learning… more
- TIAA (Dallas, TX)
- …Years Preferred + No Advanced Degree Required, Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 24 **Physical ... a control strategy for all retail businesses. + Ensures compliance with corporate and regulatory procedures (eg, Know Your...Advanced Degree Required **Career Level** 7PL **Required** : + Series 7 , 63, and 24 completed within… 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 ... successfully obtain your industry licenses (Security Industry Essentials SIE, Series 7 and Series 63...Focus + Issue Management + Oral Communications + Regulatory Compliance + Active Listening + Adaptability + Problem Solving… more
- Bank of America (Dallas, TX)
- …and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related experience + Knowledge related to retail ... 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… more
- Charles Schwab (Houston, TX)
- …be the opportunity for you. **What you have** **Required** **qualifications** + Active and valid Series 7 license + Active and valid Series 66 (63/65) ... with business partners, sharing of best practices, and performing compliance and administrative tasks characteristic of our industry. If...a 90-day condition of employment) + Active and valid Series 9/10 license required (may be obtained within a… more
- Wells Fargo (Houston, TX)
- …days a week between Dallas and Houston TX and occasionally Tulsa, OK. + Registration for FINRA Series 7 must be completed within 90 days of hire date if it is ... for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within 90 days of hire date if it is not… more