- JPMorgan Chase (Austin, 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
- Navy Federal Credit Union (North Richland Hills, TX)
- …sources. + Execute customer and broker purchase/sales orders of securities for current/new clients. + Identify prospective participation partners/opportunities ... through prospect calling, networking, and leveraging existing participation business. + Keep current with legislative and industry updates to identify areas for market growth/opportunities, and/or potential concerns impacting NFIS clients and/or business… more
- Ankura (Houston, TX)
- …Company Accounting Oversight Board Standards ("PCAOB Standards"), as well as Securities and Exchange Commission ("SEC") independence matters. In addition, Ankura ... Directors and Senior Directors provide expertise on matters including an assessment of an audit firm's system of quality control, internal control reviews, pre-inspection reviews, regulatory remediation assistance, and investigations. Responsibilities: As a… more
- JPMorgan Chase (Plano, TX)
- …advantageous + Financial Services industry experience + Understanding of Investment securities + Exposure to Atlassian tracking, collaboration and code quality tools ... JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and Chase… 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
- 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
- Siemens Energy (Houston, TX)
- …like SAP, OnePM, and eFMT, andmanage financial guarantees, bonds, and securities . + Support project management in risk assessment,non-conformance cost reduction, ... reporting structures, and integrating lessonslearned into projects and the organization. **What You Bring (requirements)** + Bachelor's degree or equivalent experience inFinance/ Business Administration/ Accounting is required. + 3-8 years of professional… more
- Citigroup (Houston, TX)
- …to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; ensure all team members understand the need to do the same. Adhere ... to all policies and procedures as defined by the role, which will be communicated. **Required skillset:** + Knowledge of structured financing, derivatives, municipal prepays, and bank regulatory capital calculations + Knowledge of Commodities deal capture… more
- Capital One (Plano, TX)
- …of the Audit team, the candidate will focus on operations of investment ( securities and transactions). Responsibilities: + Lead small audits, or own completion of ... significant components of larger audits. + Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions and develop audit programs to ensure adequate coverage of risks. + Design and execute appropriate audit… more
- Truist (College Station, TX)
- …and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu ... of 66) and applicable Insurance licenses (Life, Health, and Variable) must be active and maintained, or must be obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of job entry date. Must be SAFE Mortgage… more