- Guardian Life (Austin, TX)
- …Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you ... will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for… more
- Sysco (Houston, TX)
- …Work from home on Thursday and Friday.** The **Associate General Counsel, Securities and Corporate Governance** will report to the Executive Vice President, Chief ... and business stakeholders at all levels across the enterprise on securities , corporate governance, compensation and benefits, [entity management] and ESG matters.… more
- Aston Carter (Houston, TX)
- Job Title: Securities Administration Services Analyst 2 Job Description This role involves extracting bond and loan calculations from extensive legal documents and ... within a department of approximately 40 people and be paired on deals with Senior Analysts and Account Managers for support. The opportunity for growth within the… more
- Wells Fargo (Houston, TX)
- **About this role:** The Senior Lead Securities Quantitative Analytics Specialist is an Executive Director level role within the Corporate & Investment Banking ... for less experienced staff **Required Qualifications:** + 7+ years of Securities Quantitative Analytics experience, or equivalent demonstrated through one or a… more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker-dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... dealer and Security-Based Swap Dealer. JPMS LLC conducts investment banking and securities and futures business, specializing in a wide range of financial products… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is a ... Legal or Internal Controls experience. + Strong understanding of applicable US securities regulations eg SEC 10b-5, securities offering regulations (`33 Act),… more
- Citigroup (Houston, TX)
- The Sec & Derivat Sr. Lead Analyst is a senior level position responsible for processing orders and transactions originating from trading desks and branch offices in ... is to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Serve as a strategic partner… more
- Wells Fargo (Bee Cave, TX)
- **About this role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. ... are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs and… more
- Robert Half Finance & Accounting (Fort Worth, TX)
- Description Senior Tax Analyst | Hybrid | Fort Worth, TX Robert Half Finance and Accounting and Kevin Sweet have partnered with a well-established investment ... management firm located in Fort Worth, TX for a Senior Tax Analyst. This is a great opportunity for...experience is a plus Familiarity with partnership allocations, debt securities , and real estate tax issues preferred Excellent attention… more
- Truist (Dallas, TX)
- …reporting requirements and state and federal laws governing commercial mortgage-backed securities + Quarterly business plan and cash flow preparations and ... of bank, conventional, agency, private credit, and/or commercial mortgage-backed securities origination and servicing is recommended; + Willingness to perform… more