- 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
- 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
- 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
- Wells Fargo (Rockwall, TX)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 and all related… 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
- First Horizon Bank (Houston, TX)
- …pass the following tests within a timely manner if licenses are not already held - SIE, Series 7 , Series 52 and Series 63 Requirements + Bachelor's ... applications for services such as market evaluation, portfolio accounting, compliance and prospectuses. + Must have the ability to...+ Knowledge of Bloomberg application is a plus + Series 7 is a plus + Knowledge… 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
- Neuberger Berman (TX)
- …collaborate within internal teams + Desire to contribute to the building of a nascent business + Series 7 , 63/65 or Series 7 , 66 required + Series ... Liaise with other internal teams (marketing, performance, analytics, operations, legal & compliance ) to ensure client needs are met; effectively build and maintain… more
- Charles Schwab (Westlake, TX)
- …have** **Required background and experience:** + Bachelor's Degree is required + Active and valid FINRA Series 7 + Active and valid FINRA Series 63 + Active ... 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