- 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 ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the...information sharing. **What You'll Bring** + A minimum of 6 years of Corporate & Investment Banking, Capital Market… more
- Wells Fargo (Houston, TX)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
- Wells Fargo (Rockwall, TX)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
- First Horizon Bank (Houston, TX)
- …of computer applications for services such as market evaluation, portfolio accounting, compliance and prospectuses. + Must have the ability to learn and implement ... manner if licenses are not already held - SIE, Series 7, Series 52 and Series...**About Us** **First Horizon Corp. (NYSE: FHN)** , with $82. 6 billion in assets as of September 30, 2024,… more
- ADP (Dallas, TX)
- …financial transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + ... other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and...and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the… more
- Wells Fargo (Fort Worth, TX)
- …Z (LO) outlined in the job expectations below **Required Qualifications:** + 6 + months of Customer Service, Sales, Relationship Building experience, or equivalent ... exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams...+ Financial services experience + Client services experience + 6 + months of client or sales services experience… more
- Wells Fargo (Houston, TX)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... Share Rights or other long-term incentive awards. **Required Qualifications:** + 6 + months of Investment Banking Program experience, or equivalent demonstrated… more
- First Horizon Bank (Dallas, TX)
- …Auditors (IIA) Standards Certification or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6 , 7, or 24, etc.). Prior experience at a large, complex ... the full range of risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design...or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6 , 7, or 24, etc.) or… more
- Truist (Austin, TX)
- …abilities. 5. Detail-oriented and able to work independently while managing multiple priorities. 6 . FINRA Series 7, 66, 24, and Life, Health and Variable ... other leadership in the designated geography, the Wealth leadership team and the Compliance , Supervision and Risk departments to ensure business unit compliance … more
- Veterans Affairs, Veterans Health Administration (San Antonio, TX)
- …and other orders to determine proper disposition in accordance with established procedures. 6 . Ability to perform a full administrative and technical review of the ... operating procedures. 5. Ability to processes Out of Stock medications 6 . Communicate medication errors, adverse advents, allergies, non-formulary, restricted status… more