- Kestra Financial (San Antonio, TX)
- …and pricing inquiries. + Ensure that all documentation and record-keeping meet compliance and regulatory standards. + Oversee trading , account transfers, and ... handled accurately and in a timely manner, while maintaining compliance with industry regulations. + Build and strengthen client...to clients in an accessible manner. Operational Efficiency & Compliance + Maintain and update the CRM database to… more
- Charles Schwab (Austin, TX)
- …product content journeys that help guide clients/prospects through investing, trading , and wealth management decisions. This involves developing high-quality content ... current with regulatory changes and financial education to ensure content accuracy and compliance + Develop and maintain a content calendar to ensure consistent and… more
- Aramco Services Company (Houston, TX)
- …auditing assignments. Audits are directed at reviewing internal controls, compliance with corporate policies and procedures, safeguarding assets, and reliability ... bribery, embezzlement, falsification of records, forgery, conflict of interest, insider trading & anti-trust violations, procurement schemes and fraud. Involves in… more
- Principal Financial Group (Austin, TX)
- …customer-facing experiences and internal servicing workflows. + Collaborate closely with compliance , finance, and data teams to ensure all regulatory and operational ... financial services or banking platforms, especially around transactional and compliance -based workflows + Hands-on experience building event-driven, cloud-native applications… more
- RWE Clean Energy (Austin, TX)
- …plans with the senior design staff and inter discipline reviews to ensure compliance with other design considerations such as Civil and Structural Engineering. These ... Purchase Agreements, Tolling, and EPC agreements to ensure design compliance + Oversee various testing and quality assurance checks...of American industry. This is complemented by RWE's energy trading business. RWE is also a major offtaker of… more
- Charles Schwab (Westlake, TX)
- …program reviews of electronic communications, fixed income product/service recommendations, trading activity, trend reporting and desktop procedures updates. This is ... 9/10 license, or equivalent Preferred Qualifications: + 2-3 years' supervision/ compliance /regulatory experience + Strong investment industry knowledge and understanding… more
- Shell (Pasadena, TX)
- …Type:** Regular **Posting Start Date:** August 18, 2025 **Business unit:** Trading and Supply **Experience Level:** Early Careers **Job Description:** **What's the ... audits, inspections, and other Pipeline Initiatives + Complete and stay in compliance with all required Federal, State, and Local regulations and Operator… more
- Dow Jones (Houston, TX)
- …gas liquids physical spot markets. You will report on natural gas liquids trading and fundamentals and create alerts relevant to the industry. Additionally, you will ... North American natural gas liquids industry + Uphold, follow and adhere to OPIS compliance policy, code of ethics and methodologies **You Have:** + At least 4 years'… more
- NRG Energy, Inc. (Houston, TX)
- …This position will provide HR support to NRG Business B2B sales, trading & power plant operations in the following areas: performance management, employee/union ... employment law (as appropriate). + Conduct in depth and impartial investigations regarding compliance and employee relations matters as they should arise. + Ensure … more
- Citigroup (Irving, TX)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... to manage global stakeholders, including traders, quants, risk managers, and compliance teams across multiple regions. + Strong problem-solving and decision-making… more