- PNC (TX)
- …and have an opportunity to contribute to the company's success. As a Compliance Program Advisor, you will be within PNC's Retail Organization supporting the Risk, ... Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may...and or Broker Dealer experience * FINRA regulatory licenses ( series 24 or 53) are preferred for this role… more
- PNC (San Antonio, TX)
- …industry and market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance with ... with Senior Management for the alignment of department's strategic goals. Licenses Required: SIE, Series 52 & 63, Series 53 (79 optional). Other licensing may be… more
- Wells Fargo (Houston, TX)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized… more
- Bank of America (The Woodlands, TX)
- …AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8 ) or equivalent licenses and Series 3, 31 licenses, if ... transactions and operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively manage any… more
- Charles Schwab (Westlake, TX)
- … 7 + Active and valid FINRA Series 63 + Active and valid FINRA Series 8 (9/10) + 10+ years' experience in financial services focused on supervisory, risk, ... control, or compliance . + 10+ years' experience in managerial or executive...with business partners in various departments such as legal, compliance and risk. + Proactive self-starter who is able… more
- ADP (Dallas, TX)
- …transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates ... other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry...skills + You must be available to work an 8 hour shift between the hours of 8am -… more
- JPMorgan Chase (Plano, TX)
- …qualifications, capabilities, and skills** + A valid and active Series 7 and Series 63 + Strong compliance record in prior position(s) and ability to hold ... be able to work onsite Monday through Friday from 8 :30am - 5:00pm during training and/or licensing. Following training,...is open the following hours: Monday-Friday 7 AM - 8 PM EST, Saturday 8 AM -… more
- Safran (Grand Prairie, TX)
- …: Full-time Required degree : Bachelor's Degree Required experience : More than 8 years Professional status : Professional, Engineer & Manager Spoken language(s) : ... of an effective Quality Management System program that operates in compliance with corporate quality policies, procedures, regulatory requirements, and industry best… more
- Wells Fargo (Irving, TX)
- …+ Knowledge and understanding of credit risk management + Strong risk management and compliance skills + FINRA registration including Series 7 and 24 (or FINRA ... existing products or develop new programs **Required Qualifications:** + 8 + years of Product Management or leadership experience, or...recognized equivalents) **Job Expectations:** + Registration for FINRA Series 7 & 24 must be completed within a… more
- Navy Federal Credit Union (North Richland Hills, TX)
- …offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain, ... other duties as assigned or appropriate Qualifications + FINRA Series 7 and combination of NASAA Series ...designations eg CFP, ChFC, CLU Hours: Monday - Friday, 8 :30AM - 5:00PM EST; 9:30AM - 6:00PM CST; … more