- 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
- 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
- PNC (Southlake, 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
- Applied Materials (Austin, TX)
- …Perform audits or advisory work in specialized risk areas, such as regulatory compliance or global trade processes, applying established frameworks and professional ... judgment (eg, export licensing , export screening, intangible exports, non‑SAP shipments) + **Identify and communicate findings** : review methodology, evidence, and… more
- DR Horton, Inc. (Austin, TX)
- …compliance requirements to ensure marketing deliverables meet industry and regulatory standards. *Essential Duties and Responsibilities*include the following. Other ... deployment * Maintain and update website pages, social content, and branch licensing information on all digital platforms * Monitor social media engagement, prepare… more
- Truist (Dallas, TX)
- …clients, their attorneys and CPAs. * Maintain appropriate legal, operating and regulatory controls to manage risk and compliance. Works within the existing audit, ... compliance and regulatory framework in order to ensure a high quality,...Microsoft Office software products * Must be SAFE Mortgage Licensing Act compliant within 30 days of employment in… more