- Ankura (Dallas, TX)
- …commercial lending, mortgage lending, consumer collections agencies and securities /brokerage [broker dealer, registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- Wells Fargo (Waco, TX)
- …specified period. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required + For ... the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI,… more
- JPMorgan Chase (Plano, TX)
- …service. Our team collaborates across Chase Wealth Management, JP Morgan Securities , and JP Morgan Self-Directed Investing, supporting clients with ~$400 billion ... in assets and ~4,000 advisors nationwide. As the Vice President, Affluent Operations Manager within J. P. Morgan Wealth Management, you will oversee a team of investment Client Service Professionals dedicated to providing exceptional service to high-net-worth… more
- Ankura (Dallas, TX)
- …commercial lending, mortgage lending, consumer collections agencies and securities /brokerage [broker dealer, registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- UTMB Health (Galveston, TX)
- …be comprised of a combination of cash, planned or deferred gifts, property, securities , insurance or in-kind). + Develops annual objectives and quarterly plans for ... institutional fund-raising priorities with emphasis on securing major gifts from individuals, alumni, foundations, and corporations. Collaborates and coordinates with other directors of development on all related fundraising plans. Plans are reviewed monthly… more
- HUB International (Austin, TX)
- …of Ethics and other policies and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in ... conducting ongoing compliance reviews, internal investigations and surveillance to evaluate and test for compliance with applicable SEC rules, regulations, and internal policies; + Recommend workable action plans for identifying and correcting material… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- JPMorgan Chase (Dallas, TX)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of ... FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the… more
- Burns & McDonnell (Houston, TX)
- …the project, client contractor, and/or subcontractor's insurance, licensures, taxes/duties, and securities are in effect according to the project requirements. + ... Support and conduct project safety, quality, progress and financial audits and assessments as required. + Facilitate the materials receiving and management process including inventory control, receiving of goods, storage, and transportation. + Collaborate with… more
- MUFG (Irving, TX)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more