- Vanguard (Dallas, TX)
- …required. + This job requires a regulatory license and/or registration (eg FINRA, NASAA). The SIE, Series 7 , and Series 66 are required to be obtained within ... in a fast-paced environment, ensuring timely delivery of commitments. + Compliance : Maintain accurate client records and ensure adherence to Vanguard's systems,… more
- Comerica (Houston, TX)
- …and banking needs + 7 years developing and executing sales and marketing plans + Series 7 + Series 66 + State Insurance License Preferred: + CFP or ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...A Bachelor's degree in Business, Economics, or Finance + 7 years of experience sales and client management experience… more
- Regions Bank (Plano, TX)
- …Standards act and is not eligible for overtime pay. This position is incentive eligible. **Requirements** + Series 7 + Series 63 & 65 or Series 66 + ... level staff informed about investment products and opportunities + Adheres to compliance requirements and follow corporate and industry protocols This position is… more
- Comerica (Dallas, TX)
- …of progressive experience in Banking or the Financial Services industry Preferred Licenses - Certifications: + Series 7 + Series 63 + Series 79 About ... are followed to aid in minimizing various risk elements. Ensures compliance with corporate and regulatory policies and procedures. Maintains proper individual… 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. ... maintaining affiliations with academic institutions. Work Schedule: Monday - Friday 7 :30 am - 4:00 pm Recruitment/Relocation Incentive (Sign-on Bonus): Authorized… 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 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:** +… more
- First Horizon Bank (Dallas, TX)
- …Auditors (IIA) Standards Certification or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6, 7 , or 24, etc.). Prior experience at a large, complex ... the full range of risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design...or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6, 7 , or 24, etc.) or… more
- JPMorgan Chase (Plano, TX)
- …capabilities, and skills** + A valid and active Series 7 and Series 63 + Strong compliance record in prior position(s) and ability to hold a ... three days a week and work remote two days. + Department is open the following hours: Monday-Friday 7 AM - 8 PM EST, Saturday 8 AM - 5 PM EST. The working hours for… more
- Truist (Austin, TX)
- …Detail-oriented and able to work independently while managing multiple priorities. 6. FINRA Series 7 , 66, 24, and Life, Health and Variable insurance licenses. ... the designated geography, the Wealth leadership team and the Compliance , Supervision and Risk departments to ensure business unit...of risk mitigation actions and activities in assigned regions 7 . Point of contact for field, sales managers and… more
- Truist (Austin, TX)
- …essential functions. * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...and compliance . Works within the existing audit, compliance and regulatory framework in order to ensure a… more