- ADP (Dallas, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities...and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the… more
- ADP (El Paso, TX)
- …benefits administration and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the difference in ... long, proud history of conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our people to uphold our… more
- First National Bank of Omaha (Plano, TX)
- …the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
- First National Bank of Omaha (Frisco, TX)
- …the community. + ** Compliance & Ethics:** Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
- JPMorgan Chase (San Antonio, TX)
- … Series 7 and 63 (or equivalent) required, in addition to meeting FINRA continuing education requirements. + Strong compliance record prior to position(s) ... and ability to hold a registration in all 50 states. + Excellent telephone communication skills and articulation of speech, displaying a high level of professionalism. + Ability to adapt conversations to meet the needs of a diverse client base across all 50… more
- Navy Federal Credit Union (North Richland Hills, TX)
- …review of any related communication, reports, presentations, materials utilized for compliance purposes. Supervise compliance related activities performed by ... registered representatives at NFIS, LLC member FINRA /SIPC and an SEC Registered Investment Advisory Firm as well as activities through NFIS online offerings. Provide… more
- Wells Fargo (Austin, TX)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA … more
- PNC (TX)
- …and have an opportunity to contribute to the company's success. As a Compliance Program Advisor, you will be within PNC's Retail Organization supporting the Risk, ... Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may...evaluates and communicates the materially of the risks identified. FINRA regulatory licenses are preferred for this role and/or… more
- Wells Fargo (Houston, TX)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... financial markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire… more
- Wells Fargo (Houston, TX)
- …2 days a week between Dallas and Houston TX and occasionally Tulsa, OK. + Registration for FINRA Series 7 must be completed within 90 days of hire date if it is not ... available for transfer upon hire. FINRA recognized equivalents will be accepted....customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical… more