- Coinbase (Austin, TX)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment with high… more
- JPMorgan Chase (Fort Worth, TX)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased penetration, including but not limited, to new advisor referrals, conference/meeting opportunities,… more
- Robert Half Management Resources (Dallas, TX)
- …to lead and develop the internal audit function for a dynamic clearing broker - dealer organization. This strategic role involves building audit frameworks that ... effective risk management. The successful candidate will bring extensive knowledge of broker - dealer operations and regulations, along with the ability to design… more
- Robert Half Legal (Dallas, TX)
- …across the organization. * Support stakeholders by drafting, reviewing, and revising broker - dealer compliance policies and procedures. * Provide expertise in ... broker - dealer compliance, leveraging industry knowledge to maintain standards and address challenges. Requirements * Proven experience in compliance monitoring… more
- Scotiabank (Dallas, TX)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment… more
- Scotiabank (Dallas, TX)
- …international banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/swap dealer businesses. + A ... laws applicable to non-US banks operating in the US, SEC registered broker -dealers, futures commission merchants, swap dealers and registered investment advisors. +… more
- US Bank (Irving, TX)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Wealth Operations, Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC Regulations, FINRA… more
- Capital One (Plano, TX)
- …experience + FINRA Series 7, 79 or 99 license + 4+ years of experience in Broker Dealer + 4+ years of experience with Asset-Backed Securities + 4+ years of ... causing trades not to settle + Work with clearing broker and client back offices to ensure accurate bookings...and Acquisitions + 4+ years of experience with Swap Dealer or Dodd Frank **_At this time, Capital One… more
- Guardian Life (Austin, TX)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with experience at ... an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or testing experience. + Series 7; 24 licenses required or obtained within 120… more
- Charles Schwab (Westlake, TX)
- …You'll thrive if you're familiar with investment products and services from a major broker - dealer and have a genuine eagerness to learn, innovate, and simplify ... drafting and administraton experience. + Experience in the securities industry (large broker - dealer or mutual fund firm) or law firm, highly preferred. +… more