- Charles Schwab (Westlake, TX)
- …the Schwab strategy. Essential skills include: **Required Qualifications:** + **Active and valid FINRA Series 7 and 63 licenses required ** + **Active and valid ... FINRA Series 9/10 license is required ** + Understanding...+ Notary preferred + Solid understanding of regulatory and compliance policies associated with brokerage business + Demonstrated experience… more
- Truist (Dallas, TX)
- …who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant ... market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65...obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of… more
- USAA (Plano, TX)
- …effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. **What you have:** + High School Diploma ... to acquire within 90 days of hire. + Required maintenance of FINRA Series 7 license. + Required maintenance of FINRA Series 66 (or 63 and 65) license. + Must be… more
- Truist (Austin, TX)
- …other leadership in the designated geography, the Wealth leadership team and the Compliance , Supervision and Risk departments to ensure business unit compliance ... to ensure the active and successful engagement in regulatory, supervision and compliance initiatives and requirements. 2. Responsible for the successful and timely… more
- MUFG (Irving, TX)
- …VP and the team in leading the coordination and delivery of financial crimes compliance issues program in accordance with the Global Financial Crimes Compliance ... presentation materials. In addition to GFCD, the position will also support Americas Compliance and Core Compliance IM data analysis and reporting activities.… 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. At ... with hands-on experience and business exposure in the world of financial crimes compliance . You will work closely with both financial crimes and core compliance… more
- MUFG (Irving, TX)
- …the daily operations and execution of a global financial institution's sanctions compliance program. As a member of the Global Financial Crimes Division (GFCD) ... Sanctions Compliance Department, this individual will be the SME supporting...background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major… more
- MUFG (Irving, TX)
- …President (AVP) role in the Global Financial Crimes Division ("GFCD") and Americas Compliance function of MUFG Bank, Ltd. will report to the Vice President, Americas ... support the VP in leading the coordination and delivery of Americas core compliance and financial crimes compliance issues data and information for regulatory… more
- MUFG (Irving, TX)
- …VP and the team in leading the coordination and delivery of financial crimes compliance issues program in accordance with the Global Financial Crimes Compliance ... presentation materials. In addition to GFCD, the position will also support Americas Compliance and Core Compliance IM data analysis and reporting activities.… more
- MUFG (Irving, TX)
- …will be responsible for preparing Suspicious Activity Reports (SAR) in compliance with established regulatory guidelines and time frames. **Responsibilities** + ... transactions and report suspicious activity as required + Communicate with AML Compliance Manager any activity and trends that could implicate potential money… more