- Comerica (Frisco, TX)
- …in Accounting and/or Finance + 4 years of Accounting/Finance and Reporting experience, Financial Services preferred. About Comerica We know our employees are ... bank and non-bank financial reports, prepared by financial reporting analysts, for bank regulatory agencies...the SAFE Act. Comerica Incorporated (NYSE: CMA) is a financial services company headquartered in Dallas, Texas,… more
- Charles Schwab (Westlake, TX)
- …at law firm, or with the government, with a significant focus in prosecution or regulatory defense relating to financial services or complex white collar ... in which the Schwab operates, and the broker-dealer and financial services industry generally. Lead, direct, assist,...managing significant matters. + **Learning:** Work on cutting edge financial and regulatory issues essential to Schwab's… more
- Citigroup (Irving, TX)
- …degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, ... as an AML Compliance Risk Management analyst for the Global AML Regulatory Risk Oversight within the AML Reporting, Insights and Integration function responsible… more
- Charles Schwab (Westlake, TX)
- …of finance and knowledge of liquidity risk management at a broker dealer. * Regulatory financial reporting, and experience in treasury management and oversight * ... bank and broker-dealers. We monitor and ensure adherence to regulatory ratios including the Liquidity Coverage Ratio (LCR) and...Experienced with financial systems and financial data * Hands-on,… more
- Raymond James Financial, Inc. (Knoxville, TX)
- …Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - ... balance new client development, sales activities, investment management, customer service and compliance with personal and professional growth and...Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA -… more
- ManpowerGroup (Irving, TX)
- …in place and ensure compliance with GAAP and applicable federal, state, and local regulatory laws and rules for financial and tax reporting. Design and ... tools such as Power BI. + Special projects as assigned. + Managing financial compliance/ regulatory reporting **Qualifications and Requirements** : + 5 + years… more
- PNC (TX)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... Experience, Strategy (RCES) organization, supporting the First Line of Defense (1LOD) Financial Crimes Compliance Program Office (FCCPO) team. This is a remote… more
- Raymond James Financial, Inc. (Austin, TX)
- …Experience - 13 months to 3 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), RA - Investment Adv Rep - Financial ... required production. * Provides a high level of client service . * Manages the full scope of a client... Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** Less… more
- Raymond James Financial, Inc. (Frisco, TX)
- …- 7 to 12 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - ... required production. * Provides a high level of client service . * Manages the full scope of a client...Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), Series 7_GS… more
- MUFG (Irving, TX)
- …and operational enhancement. **Qualifications:** + 0 - 3 years of experience in Financial Services , preferably in Compliance, Risk Management or related areas. + ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
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