- 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 (Duncanville, 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
- Phillips 66 (Houston, TX)
- …Define and implement data modeling standards for structured, semi-structured, and time- series data-especially historian and SCADA systems. + Ensure high data ... degree in Computer Science, Engineering, Information Systems, or a related field + 8 or more years of experience in data architecture, data engineering, or… 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
- Truist (Austin, TX)
- …of contact for field, sales managers and business partners with regard to compliance and risk initiatives. 8 . Conduct front-office education and information ... the designated geography, the Wealth leadership team and the Compliance , Supervision and Risk departments to ensure business unit...degree; advanced degree a plus. 2. Minimum of eight ( 8 ) years of industry experience in a financial institution… more