- S&P Global (TX)
- …to track model performance, data quality, and infrastructure. + Security and Compliance : Implement security measures and compliance standards to protect ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- S&P Global (TX)
- …data security risks. + Develop and enforce data security policies for compliance with industry standards. + Review access management controls for security gaps. ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- S&P Global (TX)
- …technical milestones align with business requirements. + Implement security measures and compliance standards of the platform and APIs to ensure adherence to ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- S&P Global (TX)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- S&P Global (TX)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- Thrivent Financial (Houston, TX)
- …of advice, insurance products, asset/wealth management, fee-based planning, mutual funds, and securities . + FINRA Series 7, 63/65 or 66 required or obtained within ... 90 days, Series 24 preferred. + State securities registered and insurance licensed and appointed in all...and receiving commissions. + Satisfactory background check and clean compliance record. + Effectively able to represent the Society… more
- MUFG (Irving, TX)
- …compliance (eg Sanctions, Anti-Money Laundering, Anti-Bribery & Corruption, Markets/ Securities ), Review Functions, Examination & Audit Management, and Regulatory ... in the Global Financial Crimes Division (GFCD) and Americas Compliance function of MUFG Bank, Ltd. The role will...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- JPMorgan Chase (Fort Worth, TX)
- …degree, GED, or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- MUFG (Irving, TX)
- …Due Diligence, Enhanced Due Diligence and FI specific requirements + Advise Regional Compliance teams on Global KYC Requirements + Advise Compliance Technology ... and Strategic Communications + Support the MUFG Culture of Compliance , with an emphasis on financial crime risk awareness...Deep subject matter expertise in KYC + Experience with securities products and services + Deep subject matter expertise… more
- Wells Fargo (Houston, TX)
- …role:** Wells Fargo is seeking candidates for the role of Senior Lead Securities Quantitative Analytics Specialist, which is an Executive Director level role within ... problems + Meet deliverables while adhering to policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and project… more