• AML Compliance Advisory Manager

    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
    Capital One (06/19/25)
    - Related Jobs
  • Capital Markets Managing Director Public Finance…

    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
    PNC (08/01/25)
    - Related Jobs
  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Austin, TX)
    …broker/dealer as a plus. + Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days. + ... 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,… more
    Guardian Life (06/14/25)
    - Related Jobs
  • Risk Compliance Officer II…

    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
    First Horizon Bank (07/24/25)
    - Related Jobs
  • Merrill Market Client Relationship Manager

    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
    Bank of America (05/24/25)
    - Related Jobs
  • Merrill Market Client Relationship Manager

    Bank of America (Austin, TX)
    …prioritizing, inspecting and appropriately delegating team work. **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 ... of a Merrill branch office ensuring appropriate supervision and compliance to industry regulations, and policies and procedures +... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
    Bank of America (06/27/25)
    - Related Jobs
  • Manager, Brokerage Operations Control

    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
    TIAA (08/02/25)
    - Related Jobs
  • Financial Services Representative - Retirement…

    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 (08/02/25)
    - Related Jobs
  • GFCC Investigator (Brokerage) - Specialized AML…

    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
    Bank of America (07/24/25)
    - Related Jobs
  • VP- Branch Manager- Houston, TX (Memorial City)

    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
    Charles Schwab (08/02/25)
    - Related Jobs