- JPMorgan Chase (Webster, TX)
- …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- US Bank (Dallas, TX)
- …products/services, systems, and associated risks/controls. + Thorough knowledge of Risk/ Compliance /Audit competencies. + Ability to act with a high degree ... 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… more
- US Bank (Irving, TX)
- …and capabilities working alongside product marketing, analytics, risk management, compliance , and technology stakeholders in a fast-paced Agile environment. Strong ... 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… more
- PNC (Dallas, TX)
- …of collateral on the Borrowing Base Certificates.Ensures that the Borrowing Base is in- compliance and being managed per the terms and conditions stipulated in the ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Houston, TX)
- …+ Follows established processes and protocols including coordination with legal, compliance , finance, risk and other key partners. Partners with agencies, third ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- US Bank (Irving, TX)
- …of applicable experience **Preferred Skills/Experience** - Prior internal audit, risk, compliance , or quality assurance testing experience - Knowledge and experience ... 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… more
- PNC (Dallas, TX)
- …or participate in STEM OPT for this position** The Regulatory Risk and Compliance Reporting team in Business Technology and Innovation Group at PNC is dedicated ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Scotiabank (Houston, TX)
- …business strategies and objectives. Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures. **What You'll ... Suite, with an emphasis on Excel + Obtain and maintain required FINRA registration and licensing appropriate to your functions and responsibilities + Ability… more
- US Bank (Irving, TX)
- …+ Collaborate with cross-functional teams to define and deliver features. + Ensure compliance with security and regulatory standards (eg, PCI DSS, HIPAA). + Monitor ... 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… more
- US Bank (Irving, TX)
- …Respond to unexpected events and findings + Adhere to team standards, compliance and regulatory items, passing all audits **Basic Qualifications** + Bachelor's ... 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… more