- Raymond James Financial, Inc. (Dallas, TX)
- …new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee ... services. + Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in** + Operating client relationship manager...that an exemption or grandfathering cannot be applied. + Series 7 and Series 66 or the… more
- Wells Fargo (Irving, TX)
- …combination of the following: work experience, training, military experience, education + 4 + years of engineering experience in IoT & OT (Operations Technology), ... combination of the following: work experience, training, military experience, education + 4 + years of Corporate Properties and physical security systems experience +… more
- USAA (Plano, TX)
- …effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. **What you have:** + High School Diploma ... 90 days of hire. + Required maintenance of FINRA Series 7 license. + Required maintenance of FINRA ...and registered in all required states and jurisdictions. + 4 years of financial industry and/or sales experience. +… more
- BluePearl (San Antonio, TX)
- …licensure) in the state of interest **Program Structure** Phase 1 (Weeks 1-14): + ** 4 Weeks of Bootcamp** : A combination of virtual (Weeks 1-2) and in-person (Weeks ... 3- 4 ) training to build foundational emergency medicine skills. +...+ **Ongoing Didactics** : Participate in a weekly webinar series designed to enhance your learning and keep you… more
- USAA (Plano, TX)
- …to maximize effectiveness of member acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements We offer a ... that requires an individual to be **in the office 4 days per week.** This position will be based...In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and documentation support for use in… more
- Texas Tech University (TX)
- …director and staff team. + Lead and direct the Financial Planning Research Series to foster a culture of interdisciplinary research. **Teaching (10%)** Teach a ... a CFP Board-registered education program or AFC(R) approved curriculum track. 4 . Evidence of leadership and administrative experience in higher education, including… more
- Wells Fargo (Dallas, TX)
- …applying a deep understanding of business objectives, regulatory frameworks, and compliance requirements. + Collaborate with senior leaders and partners across ... a quantitative field, Statistics, Engineering, Physics or Economics, Computer Science. + 4 + years' experience in banking cash flow modeling + Experience in financial… more
- Truist (Dallas, TX)
- …and maintaining a strong culture of risk management and compliance , delivering our Purpose-Driven Wealth Experience, and driving advisor retention/recruiting ... with the local Support leadership team, LOB Risk Organization, Compliance , HR and Operations to further the effectiveness and...to further the effectiveness and performance of the market. 4 . Embody the Truist values and mission, including active… more
- Wells Fargo (Dallas, TX)
- …understanding of the asset class, investment offerings, policies, procedures and compliance requirements + Collaborate and consult with peers, colleagues and ... following: work experience, training, military experience, education + Successfully completed FINRA Series 7 and 63 exams to qualify for immediate registration (or… more
- Truist (Dallas, TX)
- …resource for clients, their attorneys and Certified Public Accountants (CPAs). 4 . Meet revenue growth, profitability and retention goals by developing new ... who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant… more