- Wells Fargo (Rockwall, TX)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008...recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized … 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
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the...10b-5, securities offering regulations (`33 Act), information barriers, conflicts, FINRA rules such as Rule 2241 and the Global… more
- PNC (Dallas, TX)
- …valued and have an opportunity to contribute to the company's success. As a Compliance Program Specialist within PNC's Real Estate organization, you will be based in ... Cleveland, Dallas, Birmingham or Louisville. **Job Description** + Implements compliance programs to prevent illegal, unethical, or improper business practices.… more
- MUFG (Irving, TX)
- …Are you a hard-working and resourceful candidate interested in pursuing a career in compliance and the banking industry? This opportunity might be right for you. As ... part of the Compliance Analyst Program, the Analyst will work closely with...background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major… more
- Zoom (Austin, TX)
- What you can expect As a Group Product Manager for Financial Services & Compliance , you will lead strategy and execution for Zoom's product offerings tailored to the ... not only customer-centric innovation but also adherence to regulatory standards (eg, FINRA , SEC, GDPR, data retention, archiving). You will maintain compliance … more
- MUFG (Irving, TX)
- …team is seeking a Vice President to serve as a Financial Crimes Compliance Technology Manager. This role will support the Americas team in overseeing sanctions ... Provide oversight of sanctions screening applications and related projects to ensure compliance with US regulations and internal technical standards. + Support issue… more
- PNC (Dallas, TX)
- …you will be within PNC's Internal Audit organization, supporting the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more
- MUFG (Irving, TX)
- …officers. + Regularly coordinates with other areas of the Global Financial Crime Compliance team to build partnerships and best practices. + Engages with relevant ... **Qualifications** + Typically requires 3+ years of financial industry and compliance experience, preferably within a global organization. + Subject matter expertise… more
- MUFG (Irving, TX)
- …Strategy and Oversight** , the Vice President, **Head of Financial Crimes and Compliance Human Capital Strategy** , is a critical divisional leader responsible for ... assess global talent + Oversee implementation of Global Job Architecture across Core Compliance and GFCD Globally + Partner with Global HR for staffing matters,… more