- Lincoln Financial (Austin, TX)
- …**Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure ... strong product compliance and filing results for the Retail Annuities business....to expedite state product approvals, to include negotiations with regulatory authorities, discussions with outside counsel and/or consulting firms… more
- MUFG (Irving, TX)
- …make decisions. Escalates non-standard problems or issues + Understanding of banking and financial services , including an understanding of the various types of ... will be responsible for preparing Suspicious Activity Reports (SAR) in compliance with established regulatory guidelines and time frames. **Responsibilities**… more
- PNC (Dallas, TX)
- …materiality of the risks identified. Researches current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office ... ensure it falls within established risk control limits. Executes on the Compliance program objectives for assigned area, products/ services , and applicable… more
- Capital One (Plano, TX)
- …of experience in compliance , legal or audit** + **Certified Regulatory Compliance Management (CRCM) or Certified Information Privacy Professional (CIPP) ... Compliance Advisor Manager **The Compliance Advisor...line of business by:** + **Providing input on business regulatory requirements** + **Providing guidance on business policies, standards,… more
- Humana (Austin, TX)
- …leadership and support regarding value-based program development and administration + Ensures compliance with all Commonwealth regulatory financial reporting ... financial drivers, and forecasting including headcount planning to ensure compliance with Commonwealth requirements + Performs financial impact analysis for… more
- USAA (San Antonio, TX)
- …USAA representative to top-level executive leadership from large and complex Financial Services /Sub-Advisory organizations to build and provide comprehensive ... our mission is to empower our members to achieve financial security through highly competitive products, exceptional service...the areas of Property and casualty, life insurance or financial services industry + CFP certification The… more
- Zions Bancorporation (Houston, TX)
- …service and management skills. + Requires advanced knowledge of a professional field; financial services and/or regulatory is preferred. + Requires a ... ensure regulatory excellence and strategic alignment. + Responsible for Marketing compliance and regulatory adherence within the first line of defense… more
- MUFG (Irving, TX)
- …and operational enhancement. **Qualifications:** + 0 - 3 years of experience in Financial Services , preferably in Compliance , Risk Management or related ... the team in leading the coordination and delivery of financial crimes compliance issues program in accordance...not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the… more
- EMCOR Group (Manchaca, TX)
- …department as necessary. + Develop the processes/procedures necessary to ensure regulatory compliance , proper records maintenance, and adequate accounting ... **Description** Job Title: Chief Financial Officer Reports to: President (with functional and...(with functional and fiduciary reporting to CFO, EMCOR Construction Services ) Location: Manchaca, TX FLSA Status: Full-Time / Exempt… more
- Santander US (Dallas, TX)
- …**Your Journey Starts Here:** Santander is a global leader and innovator in the financial services industry. We believe that our employees are our greatest ... Santander is a global leader and innovator in the financial services industry. We believe that our...compliance requirements. You will gain direct knowledge of regulatory obligations, risk management practices, and compliance … more