- JPMorgan Chase (Austin, TX)
- …+ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or ... starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High school degree, GED, or foreign...of long-term career with the firm **Dodd Frank/Truth in Lending Act** This position is subject to the Dodd… more
- Scotiabank (Houston, TX)
- …Legal or Internal Controls experience. + Strong understanding of applicable US securities regulations eg SEC 10b-5, securities offering regulations (`33 Act), ... + Knowledge of Federal Reserve Bank Regulations relating to corporate lending activities. + Strong interpersonal, written and verbal communication abilities +… more
- JPMorgan Chase (Austin, TX)
- …required training. + High school degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 ... adhering to banking policies, procedures, and regulatory requirements. **Dodd Frank/Truth in Lending Act** This position is subject to the Dodd Frank/Truth in … more
- JPMorgan Chase (Arlington, TX)
- …degree, GED, or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 ... adhering to policies, procedures, and regulatory banking requirements **Dodd Frank/Truth in Lending Act** This position is subject to the Dodd Frank/Truth in … more
- Fannie Mae (Plano, TX)
- …you will review and comment on underwriting and reviewing the issuance of securities to customers. You will be responsible for evaluating the impact of proposed ... customer. * Analyze the risks and costs of a lending decision and make recommendations on process improvement related...* Advise on process related to issuance of the securities or other financial loans to the customer *THE… more
- Truist (Dallas, TX)
- …experience working with clients dealing with banking, investments, and/or retail lending . (experience may include Retail, Wealth, Advisory, and/or Retail Lending ... 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
- Wells Fargo (Dallas, TX)
- …and public and private corporations. We've built the strongest commercial real estate lending platform in the industry. The CIB Commercial Real Estate Early Career ... Estate Banking + Real Estate Securitization & Capital Markets ( Lending ) **WHAT THE PROGRAM OFFERS** You will work closely...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Charles Schwab (The Woodlands, TX)
- …asset consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a team setting, and share our passion ... clients including: Retirement Planning, Education Planning, Investment Management, Banking & Lending Management, Insurance & Risk Management, and Estate Planning +… more
- Bank of America (Fort Worth, TX)
- …Skills** + Must have a minimum of 10 years' experience in Commercial Lending or Investment Banking. + Demonstrates ability to successfully manage an extensive ... leading and negotiating with a team of bank associates to solve client problems. + Securities Industry Essentials (SIE), Series 7 & 63 (Must obtain SIE, series 7 &… more
- Citigroup (Irving, TX)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities ... are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients. Citi's Mission and Value Proposition explain what… more