- Guardian Life (Austin, TX)
- …and annuities. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted product platform. + Prepare business ... to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… 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
- MUFG (Irving, TX)
- …and transnational data infrastructure. + Collaborate with cross-functional teams including legal , compliance, IT, and product to ensure data strategies align with ... 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
- 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
- MUFG (Irving, TX)
- …and horizontal partners, including business executives, GFCD subject matter experts, Legal , and Internal Audit; and + Interfacing with relevant regulators and ... 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
- OneMain Financial (Irving, TX)
- …This position will drive key compliance and reporting strategies including US Securities and Exchange Commission (SEC) reporting rules and the associated reporting ... Accounting, Technical Accounting/Policy, Loan Accounting, Operations, Insurance Accounting, SOX, Legal , Strategy, Treasury, Capital Markets. We have a casual,… more
- Bank of America (Dallas, TX)
- …Modifications to obtain credit approval for complex, custom loan products (marketable securities , commercial real estate, fine art, hedge fund, yacht, unsecured and ... financial standing, including liquidity, leverage, cash flow, key risks/mitigants and legal structure (trusts, special wealth vehicles, etc.) and apply sound… 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
- Raymond James Financial, Inc. (El Paso, TX)
- …financial markets, banking, and analysis and reporting of financial data. + Legal requirements and federal and state regulations related to employment. **Skill in** ... **Work Experience** Manager Experience - 6 to 10 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)… more
- Edward Jones (Orange, 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
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