- MUFG (Irving, TX)
- …related experience with specific emphasis on BSA/AML and/or fraud prevention at a financial institution, regulatory or law enforcement agency. + Minimum 3+ years ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- Wells Fargo (Bee Cave, TX)
- …qualify for immediate FINRA registration **Desired Qualifications:** + 4+ years of financial services industry experience + Experience in branch office ... addressing concerns and issues as it relates to the Wells Fargo Clearing Services (WFCS) Financial Advisors and associated Brokerage locations. Learn more about… 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 ... supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may be performed from… more
- Wells Fargo (Richland Hills, TX)
- …you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, ... in the top three - making us the #1 financial services employer - on the 2025...with customers and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6… more
- Comerica (Dallas, TX)
- …objectives. Maintain a Subject Matter Expert. Working knowledge of the current financial regulatory environment, fiduciary standards and current and proposed ... Accounting, Management, or Trust Administration + 10 years of experience within the financial services industry, specifically focused in the areas of investment… more
- Charles Schwab (Westlake, TX)
- …+ 5-7+ years of audit, risk, compliance, or examiner experience in public accounting, financial services , and/or regulatory agency with a working knowledge ... of internal audit best practices, financial services processes, and regulatory ...volunteering, and 28-day sabbatical after every 5 years of service for eligible positions + Paid parental leave and… more
- Wells Fargo (Rockwall, TX)
- …registration + State Insurance license(s) + 3+ years of experience in a licensed financial services position + Customer service focus with experience ... it here. At Wells Fargo, we're more than a financial services leader - we're a global...candidate upon offer acceptance + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is… more
- Catholic Health Initiatives (Houston, TX)
- …personnel to achieve operational and technical objectives including workflow design, service quality, financial performance, regulatory compliance, personnel ... performance to ensure adherence to policies and procedures, timelines and regulatory requirements + Remains knowledgeable on new technologies, methods and approaches… more
- PNC (Dallas, TX)
- …Real Estate Property Data Analysis, Real Estate Sales Closings and Agreements, Regulatory Environment - Financial Services **Work Experience** Roles ... Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of… more
- Wells Fargo (Irving, TX)
- …of audit or risk methodologies and supporting tools + Strong understanding of financial regulatory environment + Experience leading and providing feedback to ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more