- Wells Fargo (Dallas, TX)
- …understanding of the asset class, investment offerings, policies, procedures and compliance requirements + Collaborate and consult with peers, colleagues and ... the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 and 63 exams to qualify for immediate registration… more
- Navy Federal Credit Union (North Richland Hills, TX)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate account ... offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain,… more
- Wells Fargo (Houston, TX)
- …of leadership or involvement in professional or academic initiatives **Licensing Requirements** FINRA registration for SIE, Series 63 (or 66), and Series 79 must ... Yearly Washington, DC: $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Charles Schwab (Westlake, TX)
- …have** **Required background and experience:** + Bachelor's Degree is required + Active and valid FINRA Series 7 + Active and valid FINRA Series 63 + Active and ... in financial services focused on supervisory, risk, control, or compliance . + 10+ years' experience in managerial or executive...with business partners in various departments such as legal, compliance and risk. + Proactive self-starter who is able… more
- Wells Fargo (Houston, TX)
- …training as scheduled + Assist with deal closing including regulatory and compliance requirements Analysts start with a comprehensive six to seven week training ... banking, or financial services industry. This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Wells Fargo (Dallas, TX)
- …December 2025 or May/June 2026 This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Wells Fargo (Irving, TX)
- …formal sample selection tools, process and control flow-charting, and audit methodology compliance + Strong business acumen and digital savvy + Hands-on experience ... does not offer VISA sponsorship + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background… more
- Wells Fargo (Houston, TX)
- …Range:** TX (Houston): $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Microsoft Corporation (Dallas, TX)
- …pre-sales or technical consulting experience OR equivalent experience. + Experience with Compliance regulations in financial services such as FINRA , DORA, EU ... Insurance, Capital Markets and Consumer Banking + Experience with Compliance regulations in financial services such as FINRA... Compliance regulations in financial services such as FINRA , DORA, EU AI Act and other regulations +… more
- PNC (Dallas, TX)
- …and compliance principles within the financial industry (eg, SEC, FINRA , GDPR, CCPA). * Familiarity with data architecture, data pipelines, analytics tools, ... data products meet high standards of quality, reliability, security, and compliance with financial regulations and ethical data practices. * Foster Cross-Functional… more