- Charles Schwab (Westlake, TX)
- …Extensive experience in settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess the skills vital ... skills. + Experience in finance and accounting, particularly in the bank and broker / dealer space. + Knowledge of or willingness to learn new technical skills eg,… more
- Charles Schwab (Westlake, TX)
- …etc.). Ideally familiar with investment products and services offered through a major broker - dealer , and eager to learn new things and apply knowledge to ... + 5-7 years legal experience in the securities industry (such as in a large broker - dealer or mutual fund firm) or in a law firm with direct contract drafting and… more
- Robert Half Finance & Accounting (Dallas, TX)
- …firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA filings. ... * Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain internal controls consistent with the… 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
- Principal Financial Group (Dallas, TX)
- …in growing advisor relationships. Accountable for achieving sales targets and managing broker dealer relationships within all channels covering our ETF's, ... growing market share + May provide input on marketing, product development, shareholder/ broker communications and integration of campaigns with broker dealers… more
- Raymond James Financial, Inc. (Austin, TX)
- …and interact effectively with clients in various roles at the RIA or broker dealer , including executive management. + Constructively work under stress and ... process, and business structure of independent registered investment advisors and introducing broker dealers. + Working knowledge of account types and experience in… more
- HUB International (Austin, TX)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly visible, senior ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
- Navy Federal Credit Union (North Richland Hills, TX)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... relationships with members and internal/external sources. + Execute customer and broker purchase/sales orders of securities for current/new clients. + Identify… more
- JPMorgan Chase (Mckinney, TX)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- Kestra Financial (Plano, TX)
- …and record keeping adheres to compliance standards. * Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... * Maintain CRM database; define and ensure adherence to appropriate client service models. * Manage multiple and competing priorities daily in pursuit of business objectives. * Regular client interaction including appointment scheduling and correspondence;… more