- City National Bank (Austin, TX)
- …be in good standing under "The Secure and Fair Enforcement for Mortgage Licensing Act of 2008" (Safe Act) and must be registered/licensed with the "Nationwide ... Mortgage Licensing System and Registry"; or must be able to...of loan transactions, ensures conformance with Bank policy and regulatory requirements. Exercises sound credit and risk judgment in… more
- Robert Half Finance & Accounting (Houston, TX)
- …is perfect for a proactive individual with a deep understanding of the regulatory landscape for broker-dealers and investment advisers. HOW YOU WILL MAKE AN IMPACT ... in line with FINRA, SEC, and state regulations. + Regulatory Filings: Prepare and submit regulatory filings,...Rule 206(4)-7 (Investment Adviser Compliance Programs) is essential. + Licensing : A valid FINRA Series 7 is required, and… more
- Wells Fargo (Mckinney, TX)
- …business divisions at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/) . Upon required licensing and SAFE registration, the Senior Branch Premier ... hire will participate in the Branch Banking Licensed Banker licensing program as a Senior Branch Premier Banker LP...equivalents) to qualify for immediate registration + State Insurance license (s) + 3+ years of experience in a licensed… more
- The Hartford (San Antonio, TX)
- …consistent with corporate claim standards, policies and procedures and statutory, regulatory and ethics requirements. The selected candidate will partner with Staff ... consistent with corporate claim settlement policies and procedures, and statutory, regulatory and ethics requirements + Properly assess the exposure of assigned… more
- Comerica (Dallas, TX)
- …Analysts to the fundamental concepts of financial analysis and valuation, as well as regulatory training and licensing exams. New IB Analysts gain exposure to ... self-study materials to guide their preparation for the applicable licensing exams (Series 79 and 63). The overall program...time and support to prepare and take the applicable regulatory examinations they must pass to obtain the necessary… more
- PNC (Dallas, TX)
- …Preferred Skills and Qualifications: *Human resources/employment law and regulatory knowledge, including experience with international HR compliance. *Ability ... to senior leadership. Uses knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials,… more
- Cardinal Health (Fort Worth, TX)
- …focus on assigned sites and to ensure products and services comply with regulatory standards. This position will aid in driving process consistency across the ... improvement with the ability to navigate in an ever-changing regulatory landscape. **_Responsibilities_** + Applies comprehensive knowledge and a thorough… more
- PNC (Dallas, TX)
- …processes that ensure effective risk identification, control execution, and regulatory alignment across our technology organization. The ideal candidate will ... experience in technology controls, operational risk management, policies/procedures, and regulatory governance. Key Responsibilities: * Own and drive the governance… more
- Charles Schwab (Southlake, TX)
- …and systems designed to achieve and/or monitor compliance with applicable regulatory requirements. The Senior Manager is expected to make recommendations to ... enhance and refine the testing program and will remain current on regulatory developments, enterprise-wide policies and procedures, as well as develop and foster… more
- PNC (Farmers Branch, TX)
- …Risk Aggregation and Concentration, as well as the FFIEC IT Examination Regulatory guidelines * Common Risk Management certifications a plus, such as PMI-Risk ... senior risk advocate for the risk management program, process owner and/or regulatory relationship liaison. + Establishes the line of business risk management… more