- 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
- 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
- EquipmentShare (Dallas, TX)
- …quarterly and annual reporting filing requirements. + Ensure compliance with securities laws, tax regulations, and Company policies. + Provide employee support ... and coordinate communications regarding equity awards, policies, and tools. + Assist with external audits, vendor coordination, and execution of internal controls. + Support education initiatives to help employees understand the features of the Company's… 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
- Scotiabank (Dallas, TX)
- …at a banking organization. + Understanding of a product mix, including securities , loans, and derivatives + Understanding of internal audit methodology and ... principles + Strong written communication and interpersonal skills + Certification: CPA, CIA, CFA plus + Big 4 experience plus + Banking/broker-dealer regulatory reporting plus **Interested?** If your experience is closely related but doesn't align perfectly… 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
- Kinder Morgan (Houston, TX)
- …preparation, review and filing of Forms 10-Q, 10-K and 8-K's with the Securities and Exchange Commission (SEC) and prepares periodic financial reports for joint ... ventures in accordance with generally accepted accounting principles (GAAP) and government agency financial reports. * Prepare and/or assist in preparation and review of individual and consolidated financial information for KMI's SEC Form 10-Q and Form 10-K… more
- Citigroup (Irving, TX)
- …consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management **Vulnerability Assessments ... Automation Developer** 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… more