- Charles Schwab (Westlake, TX)
- …of 5 years in compliance policy and procedure writing for broker -dealers and/or Registered Investment Advisers (RIAs), preferably in retail financial services. ... + Significant experience with broker -dealer and advisory rules and regulations. + In-depth knowledge...both today and in the future: + 401(k) with company match and Employee stock purchase plan + Paid… more
- Charles Schwab (Southlake, TX)
- …+ Bachelor's Degree is a plus (but not required). + Experience with a securities broker -dealer is a plus (but not required). + Familiarity with bank and broker ... both today and in the future: + 401(k) with company match and Employee stock purchase plan + Paid...- both today and in the future: 401(k) with company match and Employee stock purchase plan Paid time… more
- Bank of America (Plano, TX)
- …**Responsibilities:** + Generate Insurance requirement letters and send to client/agent/ broker . + Receive/Review incoming insurance policies for compliance with bank ... and federal guidelines. + Contact client/agent/ broker to resolve items out of compliance. + Gives...all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other bases such as… more
- HUB International (San Antonio, TX)
- **About HUB:** HUB International is a top 5 global insurance broker providing a broad array of property, casualty, risk management, life and health, employee ... manage their risks and insurance needs. We are a company dedicated to superior customer service with employees committed...required + P&C License required + Experience in a Broker Management System - Epic and ImageRight preferred +… more
- Charles Schwab (Westlake, TX)
- …the complex regulatory framework in which the Schwab operates, and the broker -dealer and financial services industry generally. Lead, direct, assist, and support ... matters includes a remarkable variety, including those based in broker -dealer, bank, and securities laws and regulations. + **Having...both today and in the future: + 401(k) with company match and Employee stock purchase plan + Paid… more
- Ross Stores, Inc. (Denton, TX)
- …nationwide\. With 2023 revenues of $20\.4 billion, we are a Fortune 500 company who is committed to providing an inclusive work environment with continuous learning ... of products for a retail importer or a customs broker \. * Proficient in Microsoft Word, Outlook, Excel *...believe that it is an essential part of the Company 's overall commitment to attract, hire and develop a… more
- TIAA (Frisco, TX)
- …MCC works closely with other departments, including but not limited to broker -dealer compliance, RIA compliance, product compliance, and legal. This individual will ... must be obtained within 6 months of hire. + Wealth management, broker -dealer, or registered investment adviser experience. + Life insurance and annuity experience.… more
- CVS Health (Dallas, TX)
- …passionate about transforming health care. As the nation's leading health solutions company , we reach millions of Americans through our local presence, digital ... are professionals who help us build our middle market business via the broker distribution channels for Medical, Group Insurance and Specialty products. Their goal… more
- Applied Materials (Austin, TX)
- …of what is possible-while learning every day in a supportive leading global company . Visit our Careers website to learn more about careers at Applied. **Key ... internal stakeholders both on the Global Trade team and more broadly at the company . This experienced trade compliance professional will report to a Director on the… more
- AIG (Houston, TX)
- …manager and product leaders in developing existing and establishing new broker relationships + Collaborating with Distribution, Territory Managers, and other line(s) ... on a portfolio of more complex risks + Representing AIG at client and broker functions + Contributing to the development of less experienced staff + Participating in… more