- PNC (Dallas, TX)
- …reporting to ensure adherence to complex deal structures and/or regulatory compliance requirements. + Consults and advises customers, investors, capital markets loan ... required + Reviews reports to identify exceptions, monitor quality and ensure compliance . Participates in risk mitigation activities. May serve as a subject matter… more
- PNC (Dallas, TX)
- …(eg, MQ Series, Kafka), and real-time API interactions. -Documentation & Compliance -Maintain comprehensive QA documentation to support audit and compliance ... and reports on reviews and tests of software systems and products to verify compliance with applicable specifications and standards. + Leads the effort to work with… more
- Marex (Houston, TX)
- …regulations and ensure that trading activities align with legal and compliance standards. + Stay informed about industry dynamics, emerging technologies, and ... performance metrics, and market analysis for internal stakeholders. + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA… more
- MUFG (Irving, TX)
- …provide more details. **Summary:** As a member of the Global Sanctions Compliance Department (GSCD), this individual will support in the oversight and continuous ... enhancement of the Bank's Global Sanctions Compliance Program. The GSCD Program is responsible for advising on regulatory/bank policy matters, driving implementation… more
- MUFG (Irving, TX)
- …Assurance (QA) team organizationally resides within the Global Financial Crimes Compliance (FCC) Program Management. GFCD works to ensure that our organization ... a team that contributes to the operation of the financial crime compliance framework. Thus, your responsibilities and accountabilities include, but are not limited… more
- JPMorgan Chase (Austin, TX)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses… more
- JPMorgan Chase (Austin, TX)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- JPMorgan Chase (Arlington, TX)
- …equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- City National Bank (Dallas, TX)
- …Markets, Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk)Thrives in a dynamic team-based environment, effectively manages ... all applicable risks (credit, liquidity, interest rate, price, operational compliance , strategic and reputation) and mitigating controls, designs comprehensive audit… more
- PNC (Dallas, TX)
- …and REST APIs, Identity products/applications, as well as supporting compliance with modern security best practices. Specific job responsibilities include: ... design across development and engineering * Influences, leads and supports compliance with technical design and development of software solutions * Continuously… more
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