- Santander US (Dallas, TX)
- …From time to time, support of ad hoc projects to support regulatory, legal , bank and audit requirements. Disposition screening results in line with established ... practices and follow-the-sun processing. Liaise with clients, front office staff, credit, legal and operations, as needed, in support of the KYC process… more
- MUFG (Irving, TX)
- …protect our reputation, our business, and our clients within the regulatory and legal framework. It is responsible for the establishment and maintenance of effective ... 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
- Edward Jones (Mineola, TX)
- …Advisor?** + Build meaningful relationships with clients with an understanding of legal and regulatory requirements related to selling financial solutions + Critical ... assigned study period + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance… more
- Citigroup (Houston, TX)
- …client meetings + Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, Finance in order to ensure appropriate ... to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand the need to do the same… more
- MUFG (Houston, TX)
- …required for compliance and execution, including profitability analysis, committee approvals, legal due diligence, KYC, and closing checklists **Product Liaison** - ... 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
- Burns & McDonnell (Houston, TX)
- …project risk reviews with the Project Management team and consult with the Legal Department as required. + Coordinate and assist in the development and ... the project, client contractor, and/or subcontractor's insurance, licensures, taxes/duties, and securities are in effect according to the project requirements. +… more
- Truist (Dallas, TX)
- …asset allocation objectives and policies. 3. Keep abreast of changing economic, legal , financial planning, investment trends and general market and business issues ... 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
- Lincoln Financial (Austin, TX)
- …and Tax basis. They will be responsible to perform more complex securities research, analysis, and proper accounting treatment of Lincoln Financial (LF) investment ... and/or insurance agents do not provide tax, accounting or legal advice. Lincoln is committed to creating an inclusive… more
- MUFG (Irving, TX)
- …(85%) + Validates new, existing and ad hoc KYC files against legal documentation and third-party sources, remediating errors as necessary, for customers managed ... 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
- DuPont (Pasadena, TX)
- …accredited program + GPA of 3.0 or higher (out of 4.0 scale) + Legal right to work in the US without restriction Join our Talent Community ... and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of… more