- Truist (Webster, TX)
- …and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 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 Licensing… more
- Scotiabank (Dallas, TX)
- …global financial institution + Expert knowledge in regulatory compliance, securities & derivatives trading businesses, AML/ATF, Sanctions, OSFI guidelines. ... Location(s): Canada : Ontario : Toronto || United States : Florida : Tampa || United States : Texas : Dallas Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities… more
- Citigroup (Houston, TX)
- …areas. + US Only: S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** + Bachelor's/University degree, ... Master's degree preferred **Job Family Group:** Private Client Product Services **Job Family:** Investment Counselor **Time Type:** Full time **Primary Location:** Houston Texas United States **Primary Location Full Time Salary Range:** $200,000.00 -… more
- JPMorgan Chase (Plano, TX)
- …goals and is comprised of the Chase wealth management business, JP Morgan Securities and Online Investing - our digital investing platform. The combined business has ... ~$400 billion in assets under management and ~4,500 advisors who work out of 3,500 branches and 21 offices. Digital Product Strategy & Acceleration is part of the Product Acceleration Garage (PAG) in Wealth Management Product & Experience. This team takes new… more
- Robert Half Management Resources (Dallas, TX)
- …operational controls, including reserve computations, net capital calculations, and securities processing. * Evaluate risks across business operations, ensuring ... robust controls and validating SOC 1/SOC 2 reports. * Assess cybersecurity protocols, system access controls, and data privacy measures to mitigate technological risks. * Execute audit plans with defined scopes, documenting findings and presenting results to… 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
- Coinbase (Austin, TX)
- …models to evaluate new initiatives (eg, new custody features, tokenized securities , or derivatives products) and guide resource allocation. * Lead forecasting, ... budgeting, and variance analysis, turning insights into actions that directly influence executive decision-making. * Directly influence product strategy and insights that drive long-term growth * Partner cross-functionally with Product, Data Science, Business… more
- JPMorgan Chase (Houston, TX)
- …As a Lead Software Engineer at JPMorgan Chase within Commercial and Investment Bank - Securities Lending, you are an integral part of an agile team that works to ... enhance, build, and deliver trusted market-leading technology products in a secure, stable, and scalable way. As a core technical contributor, you are responsible for developing critical technology solutions across multiple technical domains within various… more
- Palo Alto Networks (TX)
- …and insights for all supporting regions aligning with Next Generation Securities deployment model. + Partner closely with Operations and Strategy, Enablement, ... Marketing, Industry, Business Value, Cortex/Cloud Acceleration, Services, Solution Architects, and Partner Channel development of field sales campaigns and execution. + Drive the collaboration of the leadership team by leading weekly staff calls,… more