- Truist (Fort Worth, TX)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... * FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance… 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 ... optimizing management of systems supporting global functions such as Compliance , Controls, Internal Audit and Risk, and introducing innovative technologies… more
- MUFG (Irving, TX)
- …and programming techniques to improve system performance while ensuring regulatory compliance . The ideal candidate will bring a blend of technical proficiency, ... and operational processes. + Contribute to continuous improvement of sanctions compliance programs and risk mitigation frameworks. **Education** Bachelor's Degree in… 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
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... influence and working alongside cross-functional teams** (eg, engineering, operations, security, compliance ) on secure design patterns and best practices. + Proven… 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
- JPMorgan Chase (San Antonio, TX)
- …advisors across nearly 5,000 locations. As an Escalation Lead within the JP Morgan Securities service team, you will play a crucial role in enhancing our client ... required, in addition to meeting FINRA continuing education requirements. + Strong compliance record prior to position(s) and ability to hold a registration in… more
- Navy Federal Credit Union (North Richland Hills, TX)
- …offerings. + Develop an internal pipeline for smaller dollar volume 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… more
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