- Citigroup (Dallas, TX)
- …well as the monitoring of the existing credit portfolio. + Ensure compliance with regulatory requirements and Citi's policies / guidelines at all times + Calls on ... of policies and institutional processes + Ensures compliance with regulatory requirements and Citi's policies / guidelines at all...Commercial Banking with technology client exposure + Active FINRA Licensing , 79, 63 and SIE or ability to obtain… more
- PNC (Austin, TX)
- …decision making to mitigate sales practice risk. Ensures compliance with regulatory guidelines and adherence to established policies and procedures. PNC Employees ... registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial...Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals… more
- PNC (Frisco, TX)
- …decision making to mitigate sales practice risk. Ensures compliance with regulatory guidelines and adherence to established policies and procedures. PNC Employees ... registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial...Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals… more
- Citigroup (Dallas, TX)
- …client/firm by complying with relevant policies, procedures, and country legal/ regulatory requirements. **Job Requirements** **New Client and Business Development** ... clients **Compliance Oversight and Controls** + Comply with all regulatory policies and control procedures regarding client transactions and...**Qualifications and Education** + 15+ years of experience + Licensing : Series 7 & 66 (or 63 & 65)… more
- Charles Schwab (Southlake, TX)
- …Compliance, with a particular focus on Registration and Associate Persons' regulatory requirements. The successful candidates will collaborate closely with Employee ... levels on the policies our group covers including: Registration and Licensing , Personal Account and Disclosures, Electronic Communications, Gifts and Entertainment… more
- Prime Healthcare (Dallas, TX)
- …Nutrition Services to ensure full compliance with federal, state, and other regulatory agencies. Responsible for the management of fiscal and human resources, ... performance improvement, regulatory compliance, and accreditation. Assesses the needs, and helps...sub-acute or SNF healthcare experience. 5. Knowledge of healthcare licensing and regulations such as TJC, HFAP, and CMS.… more
- PNC (Kilgore, TX)
- …decision making to mitigate sales practice risk. Ensures compliance with regulatory guidelines and adherence to established policies and procedures. PNC Employees ... registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial...Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals… more
- Oracle (Austin, TX)
- …traditional, utilities, transmissions, etc.). + Demonstrated experience advising on regulatory compliance, permitting, and licensing within the energy ... industry. + In-depth knowledge of energy regulatory bodies (eg, FERC, DOE, state-level agencies) and relevant legislation. + Experience drafting, reviewing, and… more
- Charles Schwab (Southlake, TX)
- …5-10 years' professional experience in the financial services industry with Compliance, Licensing & Registration, or Supervisory experience + SIE & S7TO Securities ... Licenses + Prior experience using regulatory systems such as FINRA Gateway, WebCRD, IARD, ORS,...WebCRD, IARD, ORS, and NMLS + Deep understanding of regulatory environments and working knowledge of securities industry rules… more
- PNC (Houston, TX)
- …clients. Actively identifies and mitigates different types of risk, such as regulatory , reputational, operational and credit risks. + Manages effective network of ... registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial...Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals… more