- PNC (Farmers Branch, TX)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- City National Bank (Houston, TX)
- …Qualifications* * Completion of or pursuit of CFA designation, MBA or both. * FINRA Series 7: General Securities Rep * Excellent knowledge in the following areas: ... asset management, banking/credit, personal trust, and brokerage services. * Excellent analytical and financial analysis skills. * Strong computer skills with knowledge in basic software programs like Word, Excel, Power Point, etc. * Strong interpersonal,… more
- PNC (Dallas, TX)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- PNC (Farmers Branch, TX)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- PNC (Houston, TX)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- Scotiabank (Houston, TX)
- …eg SEC 10b-5, securities offering regulations (`33 Act), information barriers, conflicts, FINRA rules such as Rule 2241 and the Global Research Settlement. + ... Knowledge of Federal Reserve Bank Regulations relating to corporate lending activities. + Strong interpersonal, written and verbal communication abilities + Organized, self-starter, eager to learn and capable of juggling multiple priorities. + Strong judgement… more
- Edward Jones (Mineola, TX)
- …+ At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance licenses required + As an ... associate, you are required to complete all ongoing training offered by the firm and regulatory authorities, as well as required training to maintain license in good standing Read More About Skills/Requirements **Awards & Accolades** At Edward Jones, we are… more
- US Bank (Dallas, TX)
- …Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… more
- US Bank (Irving, TX)
- …Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… more
- Bank of America (Dallas, TX)
- …AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related experience ... + Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations + BSA knowledge relative to AML or Fraud + Proficiency in Microsoft Excel / data analytics + Self-starter capable of analyzing… more