- JPMorgan Chase (Houston, TX)
- …complex team-oriented and fast paced environment with advisors, product partners and operations teams to deliver a seamless and integrated approach across all ... and digital platform. **Required qualifications, capabilities, and skills** + FINRA Securities Industry Essentials, Series 7 and Series 63 licenses required for… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... every region of the world and every sector that shapes your daily life, our Operations & Technology teams are charged with a mission that rivals any large tech… more
- JPMorgan Chase (Plano, TX)
- …is a global leader across investment banking, payments, markets and securities services. The world's most important corporations, governments and institutions ... central point of resolution to support the client's business operations , identifies product/service gaps and development opportunities, and leverages client/product… more
- Citigroup (San Antonio, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... every region of the world and every sector that shapes your daily life, our Operations & Technology teams are charged with a mission that rivals any large tech… more
- MUFG (Irving, TX)
- …with Financial Crimes + Build strong partnerships with Legal, Internal Audit, Operations Risk, Regulatory Affairs Office and other key stakeholders in connection ... 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
- RELX INC (Houston, TX)
- …accounting firms. About the role As part of the Intelligize Sales Operations Team, the Solution Consultant is responsible for cultivating and maintaining excellent ... MLS, JD or other advanced degree preferred + Industry knowledge of Securities disclosure and regulation highly favored + Experience performing simple and complex… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... region of the world and every sector that shapes your daily life, our Enterprise Operations & Technology teams are charged with a mission that rivals any large tech… more
- MUFG (Irving, TX)
- …will liaise and collaborate with GFCD Regional Financial Crime Offices, GFCD Operations (Intelligence and Analytics), GFCD Quality Assurance, GFCD Testing and Issue ... 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
- HUB International (Austin, TX)
- …of Ethics and other policies and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in ... including data collection and completion of the ADV forms with support of operations and advisor staff. + Participate in the investment due diligence process for… more
- Kinder Morgan (Houston, TX)
- …preparation, review and filing of Forms 10-Q, 10-K and 8-K's with the Securities and Exchange Commission (SEC) and prepares periodic financial reports for joint ... management's discussion and analysis of financial condition and results of operations ; 10) other financial schedules, reconciliations and financial information; and… more