- PNC (Brownsville, TX)
- …solutions and refers products and services; reviews documentation to ensure compliance . Manages customer pipeline for efficiency. + Collaborates with internal and ... 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 (Farmers Branch, TX)
- …of business architecture project deliverables while ensuring that they are in compliance with relevant standards and processes. PNC Employees take pride in our ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- MUFG (Houston, TX)
- …documentation + Ownership and management of processes required for compliance and execution, including profitability analysis, committee approvals, legal due ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- PNC (Allen, TX)
- …ensuring audit controls are followed and the support and adherence to compliance and regulatory guidelines. Manages service and operational aspects of a Branch ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- TIAA (Frisco, TX)
- …influences organizational stakeholders and team members to ensure strict adherence to compliance . + Manages and develops performance of team by leading learning ... (Degree) Preferred **Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7; Series 63; Series 65; Series… more
- PNC (Dallas, TX)
- …software and processes. * Working closely with risk, IT, operations, and compliance teams to ensure seamless project execution and regulatory adherence. **PNC will ... 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 (Austin, TX)
- …solutions and refers other banking products and services; reviews documentation to ensure compliance . + Grows, retains and develops an effective sales force to cover ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Thrivent Financial (Austin, TX)
- …+ Will and skill to commit to joint field work expectations. + Licensing: + FINRA Series 7, 63/65 or 66 required or obtained within 90 days. + State insurance ... financial advisors that are assigned. + Satisfactory background check and clean compliance record. + Flexibility to travel within the area (may include overnight),… more
- PNC (Houston, TX)
- …As part of the first line of defense, supports risk management, compliance , and audit needs. + Supports business, financial, and customer experience results ... 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)
- …lifecycle of AI systems, from data ingestion to model deployment, while ensuring compliance with regulatory and enterprise standards. The position will serve as a ... 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