- MUFG (Irving, TX)
- …or quality assurance within the banking industry, investigative, and/or legal / compliance functions. + Computer skills to develop and manage data, produce reports, ... 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… more
- Truist (Bryan, TX)
- …who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant ... 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… more
- Bank of America (Dallas, TX)
- …clients (individuals, family offices, trusts, special wealth vehicles, etc.) in compliance with policy, procedures, and GWIM underwriting standards and guidelines. ... Modifications to obtain credit approval for complex, custom loan products (marketable securities , commercial real estate, fine art, hedge fund, yacht, unsecured 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
- Raymond James Financial, Inc. (Houston, TX)
- …policies. Works with guidance (but not constant supervision) to achieve full compliance with applicable rules and regulations in management and/or operations. Works ... **Work Experience** General Experience - 7 to 12 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… 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
- Citigroup (Irving, TX)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities ... + Collaborating with other teams within Risk and the Business to facilitate compliance with policies, procedures, and guidance. + Preparing reports and other meeting… more
- JPMorgan Chase (Plano, TX)
- …& Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world ... strategy and business processes + Experience in risk and risk control compliance + Ability to work collaboratively in teams and develop meaningful relationships… more
- Charles Schwab (Westlake, TX)
- …counsel. + Advise on default and loss mitigation strategies.. + Support bank compliance and regulatory activities as they relate to Banking and Trust Services + ... a variety of deal types, including secured or unsecured lending, mortgages, securities based lending and troubled debt/loss mitigation. + Knowledge of applicable… more