- Raymond James Financial, Inc. (Austin, TX)
- …or services. * Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in:** * Operating client relationship manager system and ... - Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Navy Federal Credit Union (North Richland Hills, TX)
- …an internal pipeline for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures + Establish, maintain, ... sources + Execute customer and broker purchase/sales orders of securities for current/new clients + Identify prospective participation partners/opportunities through… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Charles Schwab (Westlake, TX)
- …is responsible for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior management as necessary. ... collateral selections for liquidity and pledging purposes while collaborating with the securities lending groups + Develop and publish dashboards and reporting that… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- TIAA (Dallas, TX)
- …legal proceedings for attorneys. + Reviews corporate documents for compliance with regulatory guidelines. + Monitors and analyzes legislative/regulatory developments ... firm or in-house corporate law department + Working understanding of corporate/ securities /asset management law + Strong attention to detail, responsiveness, and… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… 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 ... risk and controls issues, evaluate application adherence against it, and ensure strict compliance to the security of the applications. - Manage the Citi's technology… more
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