- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... hold and retrieval of electronic communication content to support compliance, legal and other investigative requirements. The role is responsible to monitor… more
- Wells Fargo (Houston, TX)
- …partners. + Lead coordination and execution of loan booking, closing, legal documentation and compliance requirements + Partner with Renewables Asset Finance ... and prioritization skills **Job Expectations:** + Registration for FINRA exams including Securities Industry Essentials (SIE), Series 63 and Series 79 must be… more
- Charles Schwab (Westlake, TX)
- …collateral selections for liquidity and pledging purposes while collaborating with the securities lending groups + Develop and publish dashboards and reporting that ... 15c3-1and segregations routines + Monitor assets pledged to our counterparties across all legal entities + Work with cross functional teams to identify ways to… more
- Grant Thornton (Dallas, TX)
- …bodies, including the American Institute of Certified Public Accountants, Securities Exchange Commission, Public Company Accounting Oversight Board, International ... or other GT groups within our firm (eg, Private Equity, other quality groups, legal , etc.) and to also be able to work independently. The individual must manage… more
- Honeywell (Houston, TX)
- …Management and Compliance:** . Coordinate an enterprise risk management process with legal , compliance, and other functions to ensure a unified risk assessment and ... mitigation approach. . Ensure compliance with Sarbanes-Oxley (SOX), Securities and Exchange Commission (SEC) regulations, and other relevant standards. . Monitor… more
- Edward Jones (Dripping Springs, TX)
- …About Job Overview **Skills/Requirements** **Skills:** + Ability to learn and apply legal and regulatory requirements related to selling financial solutions + Work ... required; Bachelor's degree preferred + 3-5 years of relevant experience in securities /financial services industry preferred + Series 7 and Series 66 required; if… more
- MUFG (Irving, TX)
- …in management or quality assurance within the banking industry, investigative, and/or legal / compliance functions. + Computer skills to develop and manage data, ... 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 (Bryan, 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)
- …activities required by generally accepted accounting principles (GAAP) and the Securities and Exchange Commission (SEC). **What you'll be doing** What you'll ... employees, representatives and/or insurance agents do not provide tax, accounting or legal advice. Lincoln is committed to creating a diverse and inclusive… more