- PNC (Dallas, TX)
- …the quality of complex 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
- PNC (Farmers Branch, TX)
- …and maintenance of application programs; (iii) monitor and maintain adherence and compliance to quality standards on an ongoing basis; (iv) maximize staff ... 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 modernization of systems and software to ensure stability and compliance to technology standards. * Performs maintenance, including installation of patches ... 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 (Irving, TX)
- …Assurance ("QA") within the banking industry, investigative, and/or legal / compliance functions **Education, Licensure, Experience:** * Bachelor's Degree and CAMS ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Bank of America (Dallas, TX)
- …inform them of circumstances that require supervisory attention/review/approval per compliance guidelines and policies + Source prospective clients and capitalize ... development needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations… more
- PNC (Dallas, TX)
- …and ensure proper use of tools, methods and schedules to enable compliance with the change management process. + Executes change management processes appropriately. ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Principal Financial Group (Addison, TX)
- …+ Understanding of basic financial terms, products, services, regulations, and compliance standards. + Strong customer service, organization, critical thinking, and ... to changing priorities and perform under pressure. + Familiarity with FINRA regulations preferred. **Salary Range Information** Salary ranges below reflect targeted… more
- PNC (Dallas, TX)
- …& Platform: Git, Jenkins, Bitbucket, Docker, Red Hat OpenShift(OCP), SonarQube * Compliance & Security: Audit ready workflows and securing coding **Job Description** ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more