- JPMorgan Chase (Austin, TX)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if required) and Life ... options to access their accounts 24 hours a day/ 7 days a week + Adheres to policies, procedures,...completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High… more
- Fresenius Medical Center (College Station, TX)
- …vision, core values and customer service philosophy. Adheres to the FMCNA Compliance Program, including following all regulatory and FMS policy requirements. For a ... state and federal regulatory requirements. Oversees OSHA and regulatory compliance related issues ensuring appropriate actions taken to ensure...will typically consist of 10 to 25 clinics and 7 to 15 exempt and non-exempt employees. + Works… more
- JPMorgan Chase (Arlington, TX)
- …equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if required), and ... and setting up self-service options to access their accounts 24 hours a day/ 7 days a week. **Job responsibilities** + Delivers an exceptional customer experience by… more
- Kestra Financial (San Antonio, TX)
- …+ Previous management or leadership experience is a plus. Licenses & Certifications + Series 7 and 65/66 licenses preferred (or willingness to obtain). ... handled accurately and in a timely manner, while maintaining compliance with industry regulations. + Build and strengthen client...to clients in an accessible manner. Operational Efficiency & Compliance + Maintain and update the CRM database to… more
- USAA (Plano, TX)
- …not required, however, if there is an existing license and a business need, maintenance of FINRA Series 7 , 66 (or 63 and 65), 24, and 51 (or 53) may be required. ... to maximize effectiveness of member acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements We offer a… more
- HSBC (Houston, TX)
- …experience required + Strong Windows capabilities; Excel, PowerPoint, Word, Outlook + FINRA Series 63, 79, and 7 licenses required. A contingency period to ... minimize the likelihood of such risk occurring + Ensure compliance with internal and external rules and regulations +...obtain licensing can be provided at manager's discretion In compliance with applicable laws, HSBC is committed to employing… more
- Charles Schwab (Austin, TX)
- …Planning, Employee Benefits or equivalent experience in a Financial Services role + Series 7 & 66 licenses required and additional professional designation from ... requires attention to detail to include administrative areas such as recording metrics, compliance , and timely filing of reports. **What you have** To ensure that we… more
- Citigroup (Irving, TX)
- …regression, clustering, natural language processing (NLP), computer vision, and time series analysis. + Design and develop agentic AI system. + Contribute ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...or a related field. Ph.D. is a plus. + 7 + years of hands-on experience in developing and deploying… more
- Huntington National Bank (Dallas, TX)
- …+ Bachelor's Degree + 10+ years related Public Finance Investment banking experience + Series 7 , 53, 79, 52, 63 (or other relevant combination) Preferred ... complies with legal and regulatory requirements. + Accountable for risk management, compliance , and audit performance for area(s) of responsibility. + Establishes or… more
- The City of Houston (Houston, TX)
- …Reporting Location: Various Locations Workdays & Hours: Monday - Friday, 7 :30am-4:00pm* *Subject to change DESCRIPTION OF DUTIES/ESSENTIAL FUNCTIONS Safely and ... operates heavy equipment and power tools to perform a series of skilled/manual activities and tasks and/or to transport...LICENSE REQUIREMENTS Requires a valid Texas driver's license and compliance with the City of Houston's policy on driving.… more