- Citigroup (Irving, TX)
- …experience in compliance , legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or ... of compliance related issues. + Reviewing materials to ensure compliance with various regulatory and legal requirements and to ensure compliance risks… more
- Citigroup (Irving, TX)
- …experience in compliance , legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or ... of compliance related issues. + Reviewing materials to ensure compliance with various regulatory and legal requirements. Identifying and addressing… more
- Raymond James Financial, Inc. (Knoxville, TX)
- …Trainee will balance new client development, sales activities, investment management, customer service and compliance with personal and professional growth and ... required production. + Provides a high level of client service . + Manages the full scope of a client...6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG… more
- Robert Half Legal (Houston, TX)
- …timely filing of regulatory reports. Requirements * Proficiency in ADP - Financial Services is necessary * Demonstrable experience with ATS - Asynchronous ... Description We are in the financial services industry, located in Houston,... initiatives, as well as identifying potential corporate and regulatory risks. Responsibilities: * Oversee the company's compliance… more
- Houston Methodist (Houston, TX)
- …clinical and financial areas to support Clinical Research Billing Compliance . ** SERVICE ESSENTIAL FUNCTIONS** + Plans and organizes day-to-day department ... compliance with ethical and legal business practices and accreditation/ regulatory / government regulations. **PEOPLE ESSENTIAL FUNCTIONS** + Performs management… more
- Capital One (Plano, TX)
- …years of experience in compliance , legal, or audit + Certified Regulatory Compliance Management (CRCM) or Certified Information Privacy Professional (CIPP) ... Manager, Compliance The Compliance Advisor Manager performs...effectively challenge processes, standards, procedures, and controls related to regulatory requirements + Interacting with multiple lines of business… 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
- USAA (San Antonio, TX)
- …You will support the monthly close processes, compliance , and regulatory requirements, ensuring accuracy across financial statements. Additionally, you will ... our mission is to empower our members to achieve financial security through highly competitive products, exceptional service...purpose. Join our mission._** USAA is unlike any other financial services organization. The mission of the… 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
- Robert Half Accountemps (San Antonio, TX)
- …compliance , risk analysis, or a related field, preferably within AML or financial services . * Strong knowledge of Anti-Money Laundering (AML) principles, ... properly recorded to assist in potential investigations. * Stay updated on evolving regulatory requirements and compliance best practices. * Provide feedback to… more