- Truist (Houston, TX)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... disabilities to perform the essential functions. * Bachelor's Degree Required * FINRA : Maintains proper licenses including Series 7, Series 66, the Securities… more
- US Bank (Irving, TX)
- …to prioritize testing efforts and communicate business impact. + **Regulatory & Compliance Awareness** : Understanding of compliance frameworks such as PCI-DSS, ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- HSBC (Houston, TX)
- …actions are taken to minimize the likelihood of such risk occurring + Ensure compliance with internal and external rules and regulations + Uphold the highest level ... + Strong Windows capabilities; Excel, PowerPoint, Word, Outlook + FINRA Series 63, 79, and 7 licenses required. A...obtain licensing can be provided at manager's discretion In compliance with applicable laws, HSBC is committed to employing… more
- US Bank (Irving, TX)
- …Conducts code reviews to provide guidance on engineering best practices and compliance with development procedures. + Accountable for ensuring all aspects of product ... development follow compliance and security best practices. + Exhibits relentless focus...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- US Bank (Irving, TX)
- …Conducts code reviews to provide guidance on engineering best practices and compliance with development procedures + Accountable for ensuring all aspects of product ... development follow compliance and security best practices + Exhibits relentless focus...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- US Bank (Irving, TX)
- …Conducts code reviews to provide guidance on engineering best practices and compliance with development procedures - Accountable for ensuring all aspects of product ... development follow compliance and security best practices - Exhibits relentless focus...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- TIAA (Dallas, TX)
- …and review work. + Ensure all regulatory requirements are met, including compliance with responding to alternate carriers and preparing client notifications within ... Preferred **Work Experience** + No Experience Required; 2+ Years Preferred ** FINRA Registrations** + SRC Indicator: NRF **Physical Requirements** + Physical… more
- US Bank (Irving, TX)
- …information systems, networks, and data. Requires regular monitoring and reporting of compliance with established policies and procedures, as well as ensuring that ... all stakeholders are aware of potential risks and compliance requirements. Oversees the implementation of security controls and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- HSBC (Houston, TX)
- …goals of CIB and specifically the Coverage Model + Understand and ensure compliance with all relevant internal and external rules, regulations and procedures that ... products and provide high-quality analysis of credit risk + FINRA Series 63 and 79 licenses required. A contingency...Group systems and Global Banking processes is a plusIn compliance with applicable laws, HSBC is committed to employing… more
- PNC (Dallas, TX)
- …+ Reviews reports to identify exceptions, monitor quality and ensure compliance . Manages and is accountable for risk mitigation activities. Verifies completeness ... in this position. **Preferred Skills** Accountability, Customer Solutions, Ensure Compliance , Personal Initiative, Process Improvements, Results-Oriented, Risk Mitigation Strategies,… more