- Wells Fargo (League City, 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
- Quanta Services (Houston, TX)
- …Accounting primarily include the preparation and tie-out of Quanta's quarterly and annual Securities and Exchange (SEC) filings on Forms 10-K, 10-Q and 8-K, as well ... as the preparation and compilation of the workpapers supporting the disclosures in these filings. The Senior Accountant also assists with research projects for various technical accounting issues. In addition, on an as needed basis, this position assists the… more
- Nuveen Investments (Frisco, TX)
- …in senior loans, corporate and convertible bonds, , CLO's, equity securities , and derivatives. + Calculates accruals, estimates, and management fees. Reviews ... wire payments for expenses and reimbursements. + Computes portfolio performance, investor fees and allocations. + Communicates with prime brokers, custodians and fund administrators, analyzing and resolving issues. + Compiles financial statements and… more
- JPMorgan Chase (Austin, TX)
- …internal clients + Adhere to internal and external policies and procedures regarding securities transactions and code of conduct + Provide guidance to junior staff ... **Required Qualifications, Capabilities, Skills** + Bachelor's degree required; MBA or CFA preferred + Series 7, 66 and Insurance licenses required for position; unlicensed candidates considered, but required to obtain licenses within 90 days of start date +… more
- JPMorgan Chase (San Antonio, TX)
- …required training. + High school degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 ... if required), and Life licenses are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and… more
- Wells Fargo (Bryan, 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) will also be required to be completed within a specified period: 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, and WY. The State of… more
- US Bank (Irving, TX)
- …and regulations (eg, Broker Dealer, Trust Services, Wealth Management, Securities and Exchange Commission (SEC) Regulations, Financial Industry Regulatory Authority ... (FINRA) Regulations, 12CFR9 Regulation, Investments, Wealth Operations, Private Banking) * Capital Market laws and regulations (eg, Broker Dealer, Trust Services, Wealth Management, SEC Regulations, FINRA Regulations, 12CFR9 Regulation, Investments, Wealth… more
- Charles Schwab (Westlake, TX)
- …and regulations to inform, develop and evolve programs to meet Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Federal ... Reserve Bank (FRB), and other regulatory requirements and expectations. + Cultivating relationships with Compliance Leadership and key stakeholders across Corporate Risk Management, Business, Legal and Internal Audit to partner, communicate, and report… more
- US Bank (Houston, TX)
- …Skills/Experience - Thorough understanding of syndicated bank loans, fixed income securities , securitization, or trading - Ability to identify and resolve exceptions ... and to interpret data - Effective interpersonal, verbal and written communication skills - Ability to perform multiple tasks and meet established deadlines in a dynamic working environment with minimal supervision - Proficient computer navigation skills using… 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
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