- PNC (Dallas, TX)
- …and managers. Creates, develops, executes and tracks exception rate policy and compliance . Leads policy enhancements. + Directs pricing inputs into annual planning ... 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 (Dallas, TX)
- …and maintenance of application programs. + Monitors and maintains adherence and compliance to quality standards on an ongoing basis. + Maximizes staff contribution ... 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 (Dallas, TX)
- …or usability. - Review software documentation to ensure technical accuracy, compliance , or completeness and/or to mitigate risks. Ensure application documentation is ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Robert Half Finance & Accounting (Dallas, TX)
- …ideal candidate will bring a strong background in audit, financial reporting, and compliance , with a proven ability to enhance processes and ensure alignment with ... related Broker/Dealer, and the quarterly preparation of information needed for FINRA filings. * Coordinate annual audit preparation with the related Broker/Dealer's… more
- Lincoln Financial (Houston, TX)
- …sell and penetrate assigned firms/institutions. + Adhere to LFDs Culture of Compliance . Comply with LFDs policies and procedures **What we're looking for** ... financial services industry that directly aligns with the specific responsibilities preferred + FINRA Series SIE, 6, 63, L&H + Must live in territory + Bachelor's… more
- PNC (TX)
- …Research **Competencies** Accuracy and Attention to Detail, Audit And Compliance Function, Consulting, Decision Making and Critical Thinking, Effective ... 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)
- …and maintenance of application programs. + Monitors and maintains adherence and compliance to quality standards on an ongoing basis. + Maximizes staff contribution ... 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 (Dallas, TX)
- …will be collaborative with many different areas within Lending including Compliance , Risk, Pricing, Sales and Operations. Skills required: 1. Empower Configuration ... 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)
- …and incident resolution * Maintain technical documentation, SOPs, and ensure compliance with data governance policies * Coordinate vendor support engagements 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 (Dallas, TX)
- …and business partners **Job Description** + Independently assists in financial, compliance , and/or operational audit reviews, including the evaluation of design 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