- Wells Fargo (Houston, TX)
- …check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states ... that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. **Pay Range** Reflected is the base… more
- Wolters Kluwer (Coppell, TX)
- …compliance and better understand complex legal issues in key areas like securities , tax, and other practices of law. VitalLaw AI harnesses Wolters Kluwer's ... practical and value-first approach to AI. Our platform not only helps legal professionals locate and interact with the right information, but also extends that workflow by creating first drafts, compliance checklists, or other key deliverables. The extended… more
- Wells Fargo (Dallas, TX)
- …check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states ... that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents **Job Locations:** + 1445 Ross AVE… 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
- Cardinal Health (Austin, TX)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... areas. This function also litigates all company legal matters, manages outside counsel and manages legal operations. Legal Management provides strategic oversight, leadership and direction within the Legal function. **_Job Summary_** Cardinal Health is seeking… 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
- Fannie Mae (Plano, TX)
- …mortgage finance business. This may include mortgage products and securities , borrower behavior, investment and hedging strategies, residential property valuation, ... macroeconomic models, including housing prices and interest rate, financial valuation of finance assets and derivatives, economic capital, and stress testing. Additionally, you will coach and mentor team members. The * Model Validator Lead Associate* role will… more
- Citigroup (San Antonio, TX)
- …related to investment operations - including margin, options, and placing unsolicited securities trades (Series 7 & 63 required) as required + Ensures customer ... claims and complaints are handled in accordance with FINRA and firm policy + Ensures that KYC/AML and other compliance norms are strictly adhered to + Builds a rapport with clients; utilizes Salesforce regularly for communication of issues/tasks/opportunities… more
- PCL Construction (El Paso, TX)
- …principles and process improvement. + Basic knowledge of bid and contract securities and insurance as they relate to risk management, claims management, pricing, ... and accounting. + Intermediate understanding of subcontract PO terms, including insurance and subcontractor default insurance (SDI) and bonding requirements. + Basic ability to explain and negotiate subcontract terms and conditions. + Intermediate… 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